CISI REGULATION EXAM ACTUAL EXAM
CISI REGULATION EXAM ACTUAL EXAM NEWEST 2025 ACTUAL EXAM
COMPLETE 150 QUESTIONS AND CORRECT ANSWERS (VERIFIED
ANSWERS) |ALREADY GRADED A+
The UK government is entitled to intervene in transactions involving quantum technology
concerning companies with a MINIMUM turnover of:
A £1 million
B £10 million
C £50 million
D £70 million - ANSWER-A
Prospective admissions to AIM are required to issue a prospectus for public offers raising over
£8 million from a MINIMUM of:
A 50 non-qualified investors
B 100 non-qualified investors
C 150 non-qualified investors
D 125 non-qualified investors - ANSWER-C
The Prospectus Regulation Rules allow exemption for any offer related to:
A small issues of less than £5 million over a 12 month period
B units or shares in an open-ended investment company
C a money market instrument with less than 18 months maturity
D an issue worth less than £10 million over a period of 12 months - ANSWER-B
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, CISI REGULATION EXAM ACTUAL EXAM
The prospectus requirements require a sponsor's declaration on applications for listing for:
A the Aquis Exchange Growth Market
B the AIM market
C standard listings
D premium listings - ANSWER-D
Which of the following establishes rules relating to price sensitive information? The:
A Financial Promotion Rules
B Listing Rules
C Disclosure Guidance and Transparency Rules
D Prospectus Regulation Rules - ANSWER-C
What is the MINIMUM amount of shareholder approval required to cancel a premium listing in
the UK?
A 50% for standard listings
B 50% for premium listings
C 75% for standard listings
D 75% for premium listings - ANSWER-D
According to Rule 31.8 of the Takeover Code, following the publication of the initial offer
document, after which day should the board of the offeree company NOT announce any
material new information?
A Day39
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, CISI REGULATION EXAM ACTUAL EXAM
B Day42
C Day46
D Day50 - ANSWER-A
A company seeking admission to AIM must:
A be incorporated as a PLC
B have a minimum 25% free float
C have 18 months trading history
D be raising at least £700000 - ANSWER-A
Which party is responsible for ensuring an AIM quoted company complies with the AIM rules on
an ongoing basis?
A Broker
B Nomad
C Qualified executive
D Sponsor - ANSWER-B
AIM companies are generally required to publish price sensitive information:
A without delay
B before the close of business
C at the close of business
D within 24 hours - ANSWER-A
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, CISI REGULATION EXAM ACTUAL EXAM
What is the MINIMUM amount of public notice an offeror must give before they are able to
make any sales, if they have been given permission to sell?
A 24 hours
B 48 hours
C 72 hours
D 96 hours - ANSWER-A
Under the Code of Practice for Approved Persons, which of the following Statements of
Principle is breached when a director fails to implement clear reporting lines to staff?
A Principle 3, proper standards of market conduct
B Principle 4, appropriate disclosure of information
C Principle 5, effective controls
D Principle 6, due skill, care and diligence - ANSWER-C
To what does a notice issued under section 793 of the Companies Act 2006 refer?
A Notification to a company of beneficial interests in its shares of 3% or more
B Notification to a company of non-beneficial interests in its shares of more than 5%
C A notice requiring a person, whom a company believes has an interest in the company's
shares, to confirm or deny that fact
D A notice by a bidding company, having acquired 90% of a company's shares, to acquire the
remaining shares - ANSWER-C
Which agency holds the consolidated list of financial sanctions targets, possible terrorist and
other targeted organisations?
4|Page
CISI REGULATION EXAM ACTUAL EXAM NEWEST 2025 ACTUAL EXAM
COMPLETE 150 QUESTIONS AND CORRECT ANSWERS (VERIFIED
ANSWERS) |ALREADY GRADED A+
The UK government is entitled to intervene in transactions involving quantum technology
concerning companies with a MINIMUM turnover of:
A £1 million
B £10 million
C £50 million
D £70 million - ANSWER-A
Prospective admissions to AIM are required to issue a prospectus for public offers raising over
£8 million from a MINIMUM of:
A 50 non-qualified investors
B 100 non-qualified investors
C 150 non-qualified investors
D 125 non-qualified investors - ANSWER-C
The Prospectus Regulation Rules allow exemption for any offer related to:
A small issues of less than £5 million over a 12 month period
B units or shares in an open-ended investment company
C a money market instrument with less than 18 months maturity
D an issue worth less than £10 million over a period of 12 months - ANSWER-B
1|Page
, CISI REGULATION EXAM ACTUAL EXAM
The prospectus requirements require a sponsor's declaration on applications for listing for:
A the Aquis Exchange Growth Market
B the AIM market
C standard listings
D premium listings - ANSWER-D
Which of the following establishes rules relating to price sensitive information? The:
A Financial Promotion Rules
B Listing Rules
C Disclosure Guidance and Transparency Rules
D Prospectus Regulation Rules - ANSWER-C
What is the MINIMUM amount of shareholder approval required to cancel a premium listing in
the UK?
A 50% for standard listings
B 50% for premium listings
C 75% for standard listings
D 75% for premium listings - ANSWER-D
According to Rule 31.8 of the Takeover Code, following the publication of the initial offer
document, after which day should the board of the offeree company NOT announce any
material new information?
A Day39
2|Page
, CISI REGULATION EXAM ACTUAL EXAM
B Day42
C Day46
D Day50 - ANSWER-A
A company seeking admission to AIM must:
A be incorporated as a PLC
B have a minimum 25% free float
C have 18 months trading history
D be raising at least £700000 - ANSWER-A
Which party is responsible for ensuring an AIM quoted company complies with the AIM rules on
an ongoing basis?
A Broker
B Nomad
C Qualified executive
D Sponsor - ANSWER-B
AIM companies are generally required to publish price sensitive information:
A without delay
B before the close of business
C at the close of business
D within 24 hours - ANSWER-A
3|Page
, CISI REGULATION EXAM ACTUAL EXAM
What is the MINIMUM amount of public notice an offeror must give before they are able to
make any sales, if they have been given permission to sell?
A 24 hours
B 48 hours
C 72 hours
D 96 hours - ANSWER-A
Under the Code of Practice for Approved Persons, which of the following Statements of
Principle is breached when a director fails to implement clear reporting lines to staff?
A Principle 3, proper standards of market conduct
B Principle 4, appropriate disclosure of information
C Principle 5, effective controls
D Principle 6, due skill, care and diligence - ANSWER-C
To what does a notice issued under section 793 of the Companies Act 2006 refer?
A Notification to a company of beneficial interests in its shares of 3% or more
B Notification to a company of non-beneficial interests in its shares of more than 5%
C A notice requiring a person, whom a company believes has an interest in the company's
shares, to confirm or deny that fact
D A notice by a bidding company, having acquired 90% of a company's shares, to acquire the
remaining shares - ANSWER-C
Which agency holds the consolidated list of financial sanctions targets, possible terrorist and
other targeted organisations?
4|Page
