Expert Answers to CISI Exam UAE-Financial-Rules-and-Regulations Questions

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

CISI UAE Financial Rules and Regulations Exam

Last Update Sep 21, 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:

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

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

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

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:

immediately

within a maximum of 48 hours

within a maximum of 72 hours

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:

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

The 15th calendar day of the delivery month

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

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

Discussion 0

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Questions 5

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