BONUS！！！ Fast2test UAE-Financial-Rules-and-Regulationsダンプの一部を無料でダウンロード：https://drive.google.com/open?id=11A4vU2Kw8M98JyMv5Ba-RrONHz99f6wT
我々社はCISI UAE-Financial-Rules-and-Regulations問題集をリリースされる以来、たくさんの好評を博しました。試験に合格したお客様は「UAE-Financial-Rules-and-Regulations問題集のオンライン版を利用して、模擬試験を繰り返して受けました。無事試験に合格しました。Fast2testから大変助かりました。」と感謝します。あなたの支持こそ我々は最も高品質のCISI UAE-Financial-Rules-and-Regulations問題集を開発して努力します。
| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - Disclosure and Transparency - General background |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Dubai Financial Market (DFM) | 11% | |
| Client Protection | 10% | |
| Trading | 11% | |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) |
>> UAE-Financial-Rules-and-Regulations最速合格 <<
Fast2testが提供した問題集をショッピングカートに入れて100分の自信で試験に参加して、成功を楽しんで、一回だけCISIのUAE-Financial-Rules-and-Regulations試験に合格するのが君は絶対後悔はしません。
質問 # 172
A licensed body submitted a requested document to the Authority and a short time later noticed that it was incomplete. How soon must it notify the Authority of this issue?
正解：D
解説：
Licensed bodies are subject to continuing obligations regarding information and documentation supplied to the Securities and Commodities Authority and other capital-market institutions. The CISI material requires a licensed body to notify the relevant entity immediately after discovering that information or documents previously submitted are incorrect, misleading, incomplete, inaccurate, outdated or have subsequently changed. The licensed body should identify the affected information or documents and explain the reason for the deficiency or change. This requirement protects the integrity of regulatory supervision because the Authority makes licensing, compliance and enforcement decisions using information submitted by regulated entities. Allowing inaccurate or incomplete material to remain uncorrected could undermine that supervisory process. The obligation is deliberately framed as an immediate notification requirement rather than allowing a fixed 48-hour, 72-hour or end-of-week correction period. The licensed body must also retain sufficient evidence showing that requested information and documents were properly delivered or submitted.
Consequently, once the firm discovers that the requested document was incomplete, it must notify the Authority immediately. Therefore, option A is correct.
質問 # 173
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：D
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 # 174
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
正解：A
解説：
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).
質問 # 175
In which of the following circumstances is a brokerage company, which is both a trading and clearing member, allowed to freeze a client's securities?
正解：C
解説：
The DFM rules impose strict restrictions on trading and clearing members concerning control over securities belonging to clients. A brokerage firm must not undertake an action that freezes a client's securities or otherwise prevents the client from using or disposing of those securities unless a recognised legal or regulatory basis exists. The CISI study material identifies three such bases: a court ruling, procedures applicable in the DFM, or resolutions issued by the Authority. Therefore, where the freezing action is taken in accordance with established market procedures, it is permissible under the regulatory framework. An inactive account, loss of UAE residence, or the brokerage firm's own suspicion concerning money laundering does not, by itself, grant the firm an unrestricted power to freeze securities under this particular DFM rule.
Suspected money laundering is subject to separate AML reporting and control requirements. The question specifically tests the DFM restriction on brokerage firms interfering with client securities. Accordingly, option D is the correct regulatory condition.
質問 # 176
When establishing a local investment fund, how much are the founders required to subscribe?
正解：C
解説：
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).
質問 # 177
......
購入前にFast2testが提供した無料のUAE-Financial-Rules-and-Regulations問題集をダウンロードできます。自分の練習を通して、試験のまえにうろたえないでしょう。Fast2testを選択して専門性の訓練が君のUAE-Financial-Rules-and-Regulations試験によいだと思います。
UAE-Financial-Rules-and-Regulations模擬トレーリング: https://jp.fast2test.com/UAE-Financial-Rules-and-Regulations-premium-file.html
無料でクラウドストレージから最新のFast2test UAE-Financial-Rules-and-Regulations PDFダンプをダウンロードする：https://drive.google.com/open?id=11A4vU2Kw8M98JyMv5Ba-RrONHz99f6wT