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CISI UAE-Financial-Rules-and-Regulations 덤프는 고객님의CISI UAE-Financial-Rules-and-Regulations시험패스요망에 제일 가까운 시험대비자료입니다. 많은 자료정리 필요없이 Pass4Test에서 제공해드리는 깔끔한CISI UAE-Financial-Rules-and-Regulations덤프만 있으면 자격증을 절반 취득한것과 같습니다. CISI UAE-Financial-Rules-and-Regulations 덤프를 다운받아 열공하세요.
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 17% | - SCA Resolutions - Federal Law No. 4 of 2000 - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) |
| Topic 2: Client Protection | 10% | |
| Topic 3: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 4: Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Topic 5: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 6: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 7: Trading | 11% | |
| Topic 8: Dubai Financial Market (DFM) | 11% |
>> UAE-Financial-Rules-and-Regulations최신버전 덤프문제 <<
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질문 # 34
A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?
정답：A
설명：
CISI UAE Financial Rules and Regulations define that cash investment funds may hold commercial papers and deposit certificates only. Medium-term bonds are typically excluded from cash funds as they have longer maturities and more interest rate risk, which conflicts with the liquidity and capital preservation objectives of cash funds. Commercial papers and deposit certificates, with their shorter maturities and high liquidity, are appropriate instruments for cash funds, providing stable, low-risk returns in line with regulatory requirements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Asset Eligibility, Section 6.4.3 (2023).
질문 # 35
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
정답：A
설명：
According to CISI UAE Financial Rules and Regulations, applicants for a financial activities licence must ensure that their record-keeping systems allow for recovery of electronic records from archives within a maximum period of three business days. This requirement ensures timely access to data necessary for audits, investigations, and regulatory reviews. The three-business-day timeframe balances operational feasibility with regulatory needs for responsiveness and data integrity, supporting transparency and compliance in the UAE financial sector.
Reference: CISI UAE Financial Rules and Regulations - Record-Keeping and Data Recovery Procedures, Section 3.5.10 (2023).
질문 # 36
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
정답：D
설명：
The CISI UAE Financial Rules and Regulations sets out specific operational responsibilities for the Depository Centre following approval of a security's listing. Within one week from approval of the listing, the Depository Centre must install a terminal device for the registrar of the listed entity. The terminal enables the registrar to access the register, make necessary inquiries and perform required updates. Related rules also require the issuer, within one week of listing approval, to provide the Depository Centre with an up-to-date copy of its shareholder register and subsequently update it whenever necessary. These arrangements ensure that ownership information maintained by the Depository Centre remains accurate and current. This is particularly important because Depository Centre records provide legal evidence of securities ownership and support rights such as voting, dividends and bonus-share entitlements. The prescribed period is therefore one week, not three days, 15 days or three weeks. Accordingly, the maximum period specified in the CISI material for installation of the terminal device is one week, making option B correct.
질문 # 37
What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
정답：A
설명：
Under Federal Law No. 20 of 2018 and relevant CISI UAE Financial Rules and Regulations, the maximum term of imprisonment for a person who attempts to commit the crime of money laundering is five years. The law imposes stringent penalties to deter money laundering activities and ensure the integrity of the UAE's financial system. In addition to imprisonment, offenders may also face fines and asset confiscation. This punitive framework is designed to align with international AML standards, emphasizing the seriousness with which the UAE treats attempts to launder money, whether successful or not.
Reference: CISI UAE Financial Rules and Regulations - AML Criminal Sanctions, Section 8.4.3 (2023).
질문 # 38
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:
정답：B
설명：
The Dubai Financial Market (DFM) Professional Code of Conduct mandates that brokerage firms perform thorough customer due diligence to confirm client identities. For natural persons, this includes obtaining detailed personal information such as profession, exact residential address, PO Box, and phone number. This comprehensive identification requirement supports anti-money laundering (AML) and know-your-customer (KYC) policies by enabling firms to verify clients accurately and assess their risk profiles effectively.
Commercial registration details and legal entity information apply to corporate clients, not individuals.
Collecting detailed contact and occupational data also facilitates ongoing monitoring and communication, fulfilling regulatory obligations to maintain transparent client records.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and DFM Professional Code of Conduct, Section 4.1.3 (2023).
질문 # 39
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