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Investment Operations Certificate (IOC) CISI UAE Financial Rules and Regulations Exam

CISI UAE Financial Rules and Regulations Exam

Last Update Nov 6, 2026
Total Questions : 186

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Questions 2

In what circumstances may representatives of a broker or employees of brokerage firms trade for their own accounts?

Options:

A.  

Only through the account of a spouse or family member, with written approval of the brokerage firm manager and the Authority

B.  

Only through their own firms and upon written approval of the brokerage firm manager and the Authority

C.  

Only through their own firms and upon written approval of the brokerage firm manager and the DFM

D.  

Only through other firms and upon written approval of the brokerage firm manager and the Authority

Discussion 0
Questions 3

When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:

Options:

A.  

immediately

B.  

within a maximum of 48 hours

C.  

within a maximum of 72 hours

D.  

after 5 working days

Discussion 0
Questions 4

The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

Options:

A.  

Two business days prior to the last business day of the delivery month

B.  

The 15th calendar day of the delivery month

C.  

Four business days prior to the 25th calendar day of the month preceding the delivery month

D.  

The second-last business day of the second month preceding the delivery month

Discussion 0
Questions 5

The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

Options:

A.  

LISS 0.01 per barrel

B.  

USS 1 per barrel

C.  

USS 25 per barrel

D.  

USS 100 per barrel

Discussion 0
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