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 Feb 7, 2026
Total Questions : 100

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Questions 2

An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

Options:

An operational risk matrix

Comparison with the same sector

A stress testing exercise

SWOT analysis

Discussion 0

Questions 3

The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre’s capital?

Options:

10%

15%

Discussion 0

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Questions 4

Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

Options:

10%

25%

51%

Discussion 0

Questions 5

If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?

Options:

It is moved from a second category listing to a first category of listing

It is moved from a first category listing to a second category of listing

Its shares are suspended for at least six months

It is required to be audited more frequently