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CISI Investment Operations Certificate (IOC) (UAE-Financial-Rules-and-Regulations) Free Practice Questions

Getting ready for your CISI Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations exam can feel like a big hurdle, right? Don't worry, we've got your back! Jump into our completely free UAE-Financial-Rules-and-Regulations practice questions - they're just like the real test, designed to help you get comfortable and pinpoint exactly what you need to study more. Let's get you feeling super confident for exam day!

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  5. CISI UAE Financial Rules and Regulations Exam Practice Questions
41. When debt securities are offered through a public subscription, the offeror will be required to...
42. The contract size for an MSCI India Index Futures (INR) contract is:
43. Where a brokerage firm on the DFM has a client with a debit balance, the...
44. An error was made by a broker which led to a trade being conducted using...
45. What proportion of the market value of securities owned by a brokerage company are used...
46. If a Special Purpose Acquisition Company fails to complete a business combination, measures to return...
47. The whistleblowing policy submitted by an applicant for a financial activities licence must include a...
48. The last trading day for an India Gold Quanto Futures contract is:
49. A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction...
50. When establishing a local investment fund, how much are the founders required to subscribe?
51. Where a financial analyst wants to conduct a personal transaction which relates to investment research...
52. The statement in a suitability report giving reasons for the recommendation must also indicate:
53. During an investigation, what should a licensed body do if it discovers that any of...
54. In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be...
55. The DFM’s Professional Code of Conduct requires brokerage firms to take reasonable steps to determine...
56. A public real estate investment fund must distribute at least what percentage of the achieved...
57. Why would a transaction to purchase securities be declared null and void?
58. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one...
59. Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued...
60. A joint-stock company applying for a licence to conduct clearing activities in a commodity market...

CISI UAE-Financial-Rules-and-Regulations Summary

  • Vendor: CISI
  • Product: UAE-Financial-Rules-and-Regulations
  • Update on: Oct 3, 2025
  • Questions: 100
  • Page: 3 / 3
Price: $52.5  $149.99
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TESTED 03 Oct 2025