2026 Fast2test 최신 UAE-Financial-Rules-and-Regulations PDF 버전 시험 문제집과 UAE-Financial-Rules-and-Regulations 시험 문제 및 답변 무료 공유: https://drive.google.com/open?id=1k5Eqo0lYHMoNKZoOiR2t2EtCbFdxhMW_
여러분은 우선 우리 Fast2test사이트에서 제공하는CISI인증UAE-Financial-Rules-and-Regulations시험덤프의 일부 문제와 답을 체험해보세요. 우리 Fast2test를 선택해주신다면 우리는 최선을 다하여 여러분이 꼭 한번에 시험을 패스할 수 있도록 도와드리겠습니다.만약 여러분이 우리의 인증시험덤프를 보시고 시험이랑 틀려서 패스를 하지 못하였다면 우리는 무조건 덤프비용전부를 환불해드립니다.
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 2: Dubai Financial Market (DFM) | 11% | |
| Topic 3: Trading | 11% | |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 6: Client Protection | 10% | |
| Topic 7: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 8: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - Codes of Conduct - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) |
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제일 빠른 시일내에 제일 간단한 방법으로CISI인증 UAE-Financial-Rules-and-Regulations시험을 패스하는 방법이 없냐구요? Fast2test의CISI인증 UAE-Financial-Rules-and-Regulations덤프를 공부하시면 가능합니다. Fast2test의CISI인증 UAE-Financial-Rules-and-Regulations덤프는 많은 분들이 검증한 가장 유력한CISI인증 UAE-Financial-Rules-and-Regulations시험공부자료입니다. 덤프의 문제만 기억하시면 패스는 문제없기에 제일 빠른 시일내에 시험을 패스하여 자격증 취득이 가능합니다.
질문 # 89
In order to deal in securities, what minimum level of paid-up capital must a firm have?
정답：A
설명：
Dealing in Securities is the first of the five financial-activity licence categories established under the SCA framework covered by the CISI UAE Financial Rules and Regulations. A firm applying for this category must generally be a legal person incorporated within the UAE or a branch of a foreign company and must maintain paid-up capital of not less than AED 30 million . The principal functions expected in a Category 1 firm include the Category Manager or Official, Compliance Officer and Risk Management Officer. Financial activities falling within the category include trading and clearing brokerage, trading brokerage in global markets, brokerage of specified non-exchange-traded derivative contracts and spot currencies, trading brokerage and securities dealing. The AED 50 million figure relates to higher capital requirements associated with other categories, including Dealing in Investment and Keeping, Clearing and Registration. AED 10 million and AED 20 million do not represent the prescribed Category 1 minimum. Therefore, for a firm licensed to deal in securities, the minimum paid-up capital required by the CISI material is AED 30 million and option C is correct.
질문 # 90
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
정답：B
설명：
Sponsors of companies applying to become Special Purpose Acquisition Companies (SPACs) in the UAE must prepare detailed proposals that specifically address the management of conflicts of interest. This is mandated under CISI UAE Financial Rules and Regulations to ensure that the SPAC's activities remain transparent and investors' interests are protected. Conflicts of interest may arise from the sponsors' dual roles or relationships with target companies or investors. Addressing these conflicts proactively through proposals and policies supports integrity and market confidence. While risk reduction and anti-money laundering are critical, the regulations explicitly highlight conflict management as a core area for SPAC sponsors.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, SPAC Sponsorship Requirements, Section 6.3.4 (2023).
질문 # 91
Why would the Authority board resolve temporarily to halt trading in the shares of any company?
정답：B
설명：
The Authority board may decide to temporarily halt trading in the shares of a company if a threat to the proper and regular working of that market arises. This action is taken to ensure the integrity of the market and protect investors from any disruption caused by irregularities or unexpected events. Such threats could include issues like system failures, significant market manipulation, or events that might cause unfair trading conditions.
Halting trading is a precautionary measure that aims to stabilize the market, allowing time for the issue to be resolved before trading resumes.
Reference: CISI UAE Financial Rules and Regulations - Trading Halts and Market Integrity, Section 3.4.2 (2023).
질문 # 92
What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?
정답：B
설명：
Under Federal Law No. 20 of 2018 and relevant CISI UAE Financial Rules and Regulations, the minimum fine imposed on a person convicted of financing an illegal organisation is AED 150,000. This penalty underscores the seriousness with which the UAE treats the crime of funding illegal or terrorist entities.
Alongside financial sanctions, convicted individuals may face imprisonment and other legal consequences.
These stringent penalties are part of the UAE's commitment to combating terrorism financing and protecting national and international security.
Reference: CISI UAE Financial Rules and Regulations - AML Criminal Sanctions, Section 8.4.5 (2023).
질문 # 93
The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?
정답：B
설명：
For Silver Futures contracts on the Dubai Gold & Commodities Exchange (DGEX), the contract size is 1,000 troy ounces of refined silver, with a prescribed margin of 5%. The margin requirement ensures that traders have sufficient collateral to cover potential price fluctuations in the market. The 5% margin provides a balance between allowing for liquidity in the market and managing the risks associated with futures trading.
This is a standard margin level designed to protect both market participants and the exchange from extreme volatility or defaults.
Reference: CISI UAE Financial Rules and Regulations - Silver Futures Trading on DGEX, Section 7.1.3 (2023).
질문 # 94
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UAE-Financial-Rules-and-Regulations최신버전 시험공부: https://kr.fast2test.com/UAE-Financial-Rules-and-Regulations-premium-file.html
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