그 외, Pass4Test UAE-Financial-Rules-and-Regulations 시험 문제집 일부가 지금은 무료입니다: https://drive.google.com/open?id=1Q66xBT6semNY19FZFBroNua_Xo3QkQRT
IT인증자격증을 취득하는 것은 IT업계에서 자신의 경쟁율을 높이는 유력한 수단입니다. 경쟁에서 밀리지 않으려면 자격증을 많이 취득하는 편이 안전합니다.하지만 IT자격증취득은 생각보다 많이 어려운 일입니다. CISI인증 UAE-Financial-Rules-and-Regulations시험은 인기자격증을 취득하는데 필요한 시험과목입니다. Pass4Test는 여러분이 자격증을 취득하는 길에서의 없어서는 안될 동반자입니다. Pass4Test의CISI인증 UAE-Financial-Rules-and-Regulations덤프로 자격증을 편하게 취득하는게 어떨가요?
| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 10% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Securities & Commodities Authority (SCA) |
| Markets | 11% | - Disclosure and Transparency - General background |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Trading | 11% | |
| Dubai Financial Market (DFM) | 11% | |
| Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
>> UAE-Financial-Rules-and-Regulations적중율 높은 인증시험덤프 <<
성공을 위해 길을 찾고 실패를 위해 구실을 찾지 않는다는 말이 있습니다. CISI인증 UAE-Financial-Rules-and-Regulations시험이 영어로 출제되어 시험패스가 너무 어렵다 혹은 회사다니느라 공부할 시간이 없다는 등등은 모두 공부하기싫은 구실에 불과합니다. Pass4Test의 CISI인증 UAE-Financial-Rules-and-Regulations덤프만 마련하면 실패를 성공으로 바꿀수 있는 기적을 체험할수 있습니다.
질문 # 63
Where a trust agreement is established in connection with a primary listing of Sukuk, a key function of this agreement is to ensure that:
정답：B
설명：
The CISI UAE Financial Rules and Regulations sets specific conditions for obtaining approval for the issuance and primary listing of Sukuk. Among these requirements is entry into a trust agreement. The agreement must confirm the trustee's right to obtain information concerning the Sukuk and must establish the trustee's obligations to protect the rights and interests of Sukuk holders. Access to information is fundamental because the trustee must be capable of monitoring the issuer or obligor, assessing compliance with the Sukuk terms and taking appropriate action for holders when necessary. The trust agreement does not guarantee a particular income level to Sukuk investors; investment returns remain dependent on the underlying structure and contractual terms. Nor does the rule guarantee that investors can never encounter a conflict of interest.
Finally, the agreement does not exist to establish a contractual relationship between the trustee and the Securities and Commodities Authority. Its regulatory purpose is principally investor protection and effective trustee oversight. Therefore, option C accurately reflects the CISI requirement.
질문 # 64
What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
정답：C
설명：
The CISI UAE Financial Rules and Regulations includes detailed contract specifications for the principal commodity futures products traded on the Dubai Gold & Commodities Exchange (DGCX). For the Dubai India Quanto Crude Oil Futures contract, the standard contract size is three barrels . The same specification provides a minimum price movement of US$1 and defines the last trading day as four business days before the 25th calendar day of the month preceding the delivery month. The product should not be confused with other crude-oil futures contracts covered in the syllabus. For example, the DGCX Mini West Texas Intermediate crude-oil contract uses a contract size of 100 barrels, which explains why option C is a plausible distractor. Different oil products employ different contract multipliers, settlement calculations and delivery-month structures. The Dubai India Quanto structure is specifically designed to provide India-related crude-oil price exposure while incorporating the relevant currency conversion mechanism. Since the CISI contract specification expressly states three barrels, option A is correct.
질문 # 65
When establishing a local investment fund, how much are the founders required to subscribe?
정답：C
설명：
When establishing a local investment fund in the UAE, the founders are required to subscribe a minimum amount to demonstrate commitment and to comply with the legal and financial requirements set by the Securities and Commodities Authority (SCA). The minimum required subscription is at least 10 million dirhams. This ensures that the fund has a solid financial base, contributing to its credibility and ability to cover initial operational and management expenses. The founders' subscription also serves to align their interests with those of potential investors and provides an assurance of the fund's viability and long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Fund Formation Requirements, Section 6.1.2 (2023).
질문 # 66
Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
정답：D
설명：
An investor must obtain an investor number before opening a trading account and trading securities listed on the Abu Dhabi Securities Exchange (ADX). The CISI UAE Financial Rules and Regulations explains that investor numbers fall into three broad categories: individual, institutional and government. Within the individual category, investor numbers are further divided into national and foreign , making nationality the relevant classification factor. A national individual investor number is assigned to a UAE national natural person, whereas a foreign individual investor number is assigned to a natural person who does not hold Emirati citizenship. Similar national/foreign distinctions apply to institutional and government investor numbers. The ADX rulebook confirms this structure expressly. Neither the investor's tax status, portfolio value nor bank-account status determines whether an individual investor number is classified as national or foreign. Those factors may have relevance elsewhere in account administration or regulatory compliance, but they do not form the subdivision tested by this question. Therefore, the correct response is option B, the nationality of the investor.
질문 # 67
When a firm applies to the Authority for a licence, an internal audit guide must be included setting out procedures which will ensure that:
정답：C
설명：
Every licence applicant must provide a guide regulating its internal audit processes. The CISI UAE Financial Rules and Regulations explains that the purpose of the guide is to allow the firm to assess the appropriateness and effectiveness of its internal rules, procedures and bylaws. A central requirement is that the internal auditor must be capable of acting independently , without interference, and the internal-audit role must not be combined improperly with another function. The guide must also establish suitable access to records, information and senior governance bodies and contain procedures for reporting matters that may affect the licensed body's financial position. Independence is fundamental because an internal auditor who is controlled by the operational areas being reviewed cannot provide effective assurance over compliance and internal controls. The regulations do not prescribe quarterly audits as the answer to this requirement, nor do they state that the auditor must be externally nominated. Option B does not represent a recognised internal-audit requirement in the CISI framework. Therefore, the required procedure is one ensuring the internal auditor's independence, making option C correct.
질문 # 68
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