P.S.JapancertがGoogle Driveで共有している無料の2026 CISI UAE-Financial-Rules-and-Regulationsダンプ：https://drive.google.com/open?id=1fZE_xadkaBRszF1VISMt0TuKl-QEk_vA
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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 2: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 3: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - SCA Resolutions |
| Topic 4: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 5: Trading | 11% | |
| Topic 6: Dubai Financial Market (DFM) | 11% | |
| Topic 7: Client Protection | 10% | |
| Topic 8: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
>> UAE-Financial-Rules-and-Regulations合格内容 <<
Japancert当社の専門家は、CISI UAE-Financial-Rules-and-Regulationsの試験概要に従って教科書を書き直し、すべての重要な問題を収集し、重要なメモを作成して、集中的にレビューできるようにしました。 専門家は、例、図、その他の方法を通じて、すべての不可解な知識ポイントの信頼できる解釈も実施しました。 UAE-Financial-Rules-and-Regulations学習教材で使用される表現は非常に理解しやすいです。 業界の新人であっても、専門知識を非常に簡単に理解できます。 UAE-Financial-Rules-and-Regulationsトレーニングトレント：CISI UAE Financial Rules and Regulations Examは、準備に最適な学習ガイドです。
質問 # 187
Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
正解：D
解説：
Final approval of a local investment fund depends upon completion of prescribed post-subscription procedures. According to the CISI UAE Financial Rules and Regulations, the fund manager-and, in the case of a self-managed fund, its founders-must submit specified documentation to the Authority within no more than 30 days from the date on which subscriptions close . One of the principal documents is a certificate from the local fund's auditor confirming that subscription to the fund's capital has been completed. For a family fund, additional evidence may also be required to establish that subscribers satisfy the relevant family and beneficial-ownership requirements. Failure to submit the required documents within the prescribed period can cause the establishment procedures to be treated as non-existent and require subscribed amounts to be returned. Once the required auditor's certificate and supporting documentation have been properly submitted, the Authority proceeds with the establishment and licensing process. The relevant deadline is therefore 30 days, not five, ten or fifteen days. Accordingly, option D is correct.
質問 # 188
The regulations regarding Key Investor Information Documents for self-managed funds will be breached if the document includes:
正解：B
解説：
For a local investment fund, the fund manager-or the founders where the fund is self-managed-must prepare both the full offering document and an offering-document information summary, commonly described as the Key Investor Information Document (KIID). The CISI UAE Financial Rules and Regulations specifically requires that these documents must not contain promises, guarantees, incorrect information or misleading information. The restriction is fundamental to investor protection because investors must assess a fund on the basis of its disclosed objectives, investment policy, risks and factual characteristics rather than assurances of outcomes that cannot legitimately be guaranteed. Evaluation information is not inherently prohibited; indeed, where in-kind shares are involved, the prospectus contains information relating to their evaluation and a summary of the evaluation report. Similarly, disposal information concerning in-kind assets can form part of required fund disclosures. Complaints information is also not the prohibited element identified by this rule. A reference amounting to a promise or guarantee would therefore breach the prescribed requirements for the offering documents. Consequently, option A is correct.
質問 # 189
An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:
正解：A
解説：
In trading systems regulated under the CISI UAE Financial Rules and Regulations, brokers must ensure the accuracy of account details associated with transactions. However, if an error occurs, such as using an incorrect trading account number, amendments are generally not allowed beyond the trading session unless specific conditions are met. The CISI rules state that amendments will only be made in exceptional circumstances. For instance, if the request for the amendment is made shortly after the session, such as within
40 minutes, and it can be demonstrated that the error had no significant impact on market stability or the involved parties, it may be considered exceptional. Therefore, a correction request is usually subject to a careful review of its impact, and the circumstances of the error must be deemed significant enough to warrant such an exception.
Reference: CISI UAE Financial Rules and Regulations - Trading Errors and Amendments, Section 8.4.1 (2023).
質問 # 190
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
正解：D
解説：
A Special Purpose Acquisition Company (SPAC) is required to safeguard the overwhelming majority of the money raised through its public subscription. The CISI study material specifies that not less than 90% of public subscription proceeds, or any higher percentage prescribed by the Authority, must be deposited within two business days into an escrow or other suitable segregated account. Money in that account is restricted to defined purposes. These include financing the business combination, meeting recovery requests submitted by investors, returning public subscription proceeds following a failure event, and paying fees associated with maintaining the account or those permitted purposes. The escrow proceeds are therefore not a general pool of working capital available for restructuring, market hedging or issuing additional shares. In the scenario, depositing 95% meets the minimum 90% segregation requirement, but the permitted uses remain restricted.
Among the listed alternatives, meeting recovery requests from investors is expressly authorised by the CISI SPAC rules. Consequently, option A is the correct answer.
質問 # 191
DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
正解：B
解説：
DFM brokerage firms are required to ensure that their employees have appropriate professional experience if they are employed to deal with clients or on their behalf. This is because employees interacting directly with clients must possess the necessary skills, knowledge, and experience to provide accurate information, manage client portfolios, and handle client transactions in compliance with regulatory standards. This ensures that clients are protected from potential mismanagement or malpractice and that the brokerage firm maintains a high standard of service.
Reference: CISI UAE Financial Rules and Regulations - Employee Competency Requirements for DFM Brokerage Firms, Section 7.2.1 (2023).
質問 # 192
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P.S.JapancertがGoogle Driveで共有している無料の2026 CISI UAE-Financial-Rules-and-Regulationsダンプ：https://drive.google.com/open?id=1fZE_xadkaBRszF1VISMt0TuKl-QEk_vA