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CISI UK Financial Regulations (Regs) Exam 2025 —
Complete Study Guide, Practice Test Questions, and
Certification Preparation
Prepare for the CISI UK Financial Regulations (Regs) Exam 2025 with a comprehensive
study guide, mock exam questions, and key compliance topics. Learn essential UK financial
laws, FCA and PRA rules, conduct of business, and ethical standards to pass your CISI
certification and advance your finance or compliance career.
• CISI UK Financial Regulations exam 2025
• CISI Regs exam study guide
• CISI Financial Regulations practice test
• UK financial regulation exam CISI
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
, 2|Page
C at the close of business
D within 24 hours - ANSWER-A
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
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
B Day42
C Day46
D Day50 - ANSWER-A
A company seeking admission to AIM must:
A be incorporated as a PLC
CISI UK Financial Regulations (Regs) Exam 2025 —
Complete Study Guide, Practice Test Questions, and
Certification Preparation
Prepare for the CISI UK Financial Regulations (Regs) Exam 2025 with a comprehensive
study guide, mock exam questions, and key compliance topics. Learn essential UK financial
laws, FCA and PRA rules, conduct of business, and ethical standards to pass your CISI
certification and advance your finance or compliance career.
• CISI UK Financial Regulations exam 2025
• CISI Regs exam study guide
• CISI Financial Regulations practice test
• UK financial regulation exam CISI
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
, 2|Page
C at the close of business
D within 24 hours - ANSWER-A
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
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
B Day42
C Day46
D Day50 - ANSWER-A
A company seeking admission to AIM must:
A be incorporated as a PLC
