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다년간 IT업계에 종사하신 전문가들이 자신의 노하우와 경험으로 제작한 CISI UAE-Financial-Rules-and-Regulations덤프는 UAE-Financial-Rules-and-Regulations 실제 기출문제를 기반으로 한 자료로서 UAE-Financial-Rules-and-Regulations시험문제의 모든 범위와 유형을 포함하고 있어 높을 적중율을 자랑하고 있습니다.덤프구매후 불합격 받으시면 구매일로부터 60일내 주문은 덤프비용을 환불해드립니다.IT 자격증 취득은 Fast2test덤프가 정답입니다.
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 2: Trading | 11% | |
| Topic 3: Client Protection | 10% | |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Topic 6: The Regulatory Infrastructure | 17% | - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - SCA Resolutions - Federal Law No. 4 of 2000 - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Topic 7: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 8: Dubai Financial Market (DFM) | 11% |
>> UAE-Financial-Rules-and-Regulations시험문제 <<
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질문 # 15
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
정답：C
설명：
CISI UAE Financial Rules and Regulations specify that when a local investment fund is established by an entity licensed for family investment management, at least 90% of the fund units must be owned by family members. This high ownership threshold ensures that the fund serves its intended purpose as a family investment vehicle, restricting external investor participation. The rule protects the fund's family-oriented investment strategy, governance, and compliance with related regulatory provisions. It also aligns with the regulatory framework promoting transparency and proper segmentation of family investment funds in the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Family Investment Management Funds, Ownership Requirements, Section 6.6.5 (2023).
질문 # 16
If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
정답：A
설명：
The Dubai Financial Market (DFM) utilizes precise rules to calculate the theoretical auction price during pre- closing sessions to ensure market transparency and fairness. According to the CISI UAE Financial Rules and Regulations and DFM official trading manuals, when the mid-point price is used in price determination, it is roundedupto the nearest price tick. This rounding mechanism ensures consistency in pricing and avoids fractional pricing issues that could disrupt the matchingof buy and sell orders. The concept of a price tick is a minimum price movement allowed in trading, defined by the market's tick size schedule. By rounding up, the market supports price stability and protects sellers during the auction process. This is explicitly stated in DFM' s trading rules section regarding auction price calculation and tick size adjustments.
Reference:CISI UAE Financial Rules and Regulations - Dubai Financial Market Rules, Auction Price Determination, Section 5.2.3 (2023).
질문 # 17
The summary of an in-kind shares evaluation report must state the:
정답：B
설명：
The CISI UAE Financial Rules and Regulations specifies mandatory information that must appear in the summary of an in-kind shares evaluation report. The summary must disclose the fair value of the evaluated asset , together with confirmation concerning whether obligations, debts, mortgages, rights or other guarantees are charged over that asset in favour of third parties. It must also identify the valuation methodologies used by the evaluator to determine fair value in accordance with professionally recognised principles appropriate to the asset concerned. Fair value is central because the valuation determines the economic value attributed to the in-kind contribution and consequently affects the number and value of investment-fund units issued in exchange for that contribution. The book value may differ materially from current economic value and is therefore not the specified disclosure tested here. Although information concerning the evaluator and its independence is relevant elsewhere in the regulatory framework, neither the evaluator's qualifications nor the name of the evaluator's company substitutes for the mandatory fair-value disclosure. Accordingly, option B is correct.
질문 # 18
Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:
정답：A
설명：
Under UAE's Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) regulations, revealing or notifying a person about suspicions of money laundering or disclosing any transaction under review is classified as 'tipping off'. The act of tipping off is prohibited and criminalized under the UAE's AML/CFT laws, as it can obstruct investigations and alert potential wrongdoers, allowing them to take steps to conceal illicit activities. This is a key part of maintaining the integrity of AML regulations, as it prevents individuals from undermining the enforcement process. Firms and individuals are strictly prohibited from warning clients or revealing details about investigations in order to protect the confidentiality and effectiveness of the review process.
Reference: CISI UAE Financial Rules and Regulations - Tipping Off and AML Compliance, Section 9.7.3 (2023).
질문 # 19
When a licensed firm refers a client complaint to another body, it must:
정답：A
설명：
A licensed firm's complaint-handling procedures must address situations where another body is wholly or partially responsible for the subject matter of a client's complaint. The applicable SCA rules require the firm to notify the complainant that referral is proposed and, if the complainant agrees, refer the relevant portion immediately while supplying written information concerning the referral date, responsible person and contact details. Importantly, where only part of the complaint is referred, the original licensed firm must continue handling any part of the complaint that was not referred . This prevents unresolved elements from being abandoned merely because another organisation has responsibility for a separate aspect of the matter. The regulations do not require suspension of the remaining complaint. Nor is notification limited simply to a telephone call or email, since formal dated and written notification requirements apply. The provision also uses a ten-business-day period in relation to a complainant refusing or failing to respond to a referral-not a
30-day appeal period. Therefore, option B accurately reflects the prescribed complaint-handling procedure.
질문 # 20
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