참고: Fast2test에서 Google Drive로 공유하는 무료, 최신 UAE-Financial-Rules-and-Regulations 시험 문제집이 있습니다: https://drive.google.com/open?id=1k5Eqo0lYHMoNKZoOiR2t2EtCbFdxhMW_
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| Section | Weight | Objectives |
|---|---|---|
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
| Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
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Fast2test에서 제공해드리는 CISI인증 UAE-Financial-Rules-and-Regulations덤프는 가장 출중한CISI인증 UAE-Financial-Rules-and-Regulations시험전 공부자료입니다. 덤프품질은 수많은 IT인사들로부터 검증받았습니다. CISI인증 UAE-Financial-Rules-and-Regulations덤프뿐만아니라 Fast2test에서는 모든 IT인증시험에 대비한 덤프를 제공해드립니다. IT인증자격증을 취득하려는 분들은Fast2test에 관심을 가져보세요. 구매의향이 있으시면 할인도 가능합니다. 고득점으로 패스하시면 지인분들께 추천도 해주실거죠?
질문 # 55
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
정답：A
설명：
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit 100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection.
This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).
질문 # 56
When a firm applies for a licence, it is only necessary to provide an exit strategy plan covering contract termination with an outsourced party if the firm intends to:
정답：C
설명：
The CISI UAE Financial Rules and Regulations imposes additional outsourcing controls when a licence applicant proposes to use cloud computing for servers, databases, applications, storage, networks or similar computing resources. The applicant must demonstrate a clear understanding of cloud-related risks and ensure that prescribed safeguards apply to the outsourced service provider. These include requirements concerning location of servers, confidentiality, annual external auditing of information security, data preservation and backup arrangements. Importantly, the applicant must provide an exit strategy plan dealing specifically with termination of the contract with the outsourced cloud service provider. The strategy must ensure that data and information can be maintained and transferred validly without loss and without breaching applicable laws or regulations. The requirement is consequently associated with cloud computing outsourcing rather than simply with the duration of an outsourcing agreement, the enforceability of a contract, or the fact that a service provider is situated outside the State. Indeed, the CISI rules require the relevant cloud servers to be inside the UAE. Therefore, option A is correct.
질문 # 57
The contract size for an India Gold Quanto Futures contract is:
정답：B
설명：
The Dubai Gold & Commodities Exchange offers several gold-related futures products, and their contract specifications must be distinguished carefully. According to the CISI UAE Financial Rules and Regulations, the India Gold Quanto Futures contract has a contract size of one lot . Its minimum price movement is US$1.00 per lot, and its last trading day is two business days before the final business day of the delivery month. The other quantities in the answer choices belong to different commodity contracts. A standard Gold Futures contract covered by the CISI material uses 32 troy ounces of refined gold, while Shanghai Gold Futures uses a contract size of 1,000 grammes, or one kilogram. A quantity of 1,000 troy ounces is associated with silver futures rather than the India Gold Quanto product. The question therefore tests recognition of the separate DGCX contract specifications rather than conversion between weight measurements. Since the India Gold Quanto Futures contract is expressly specified as one lot, option B is correct.
질문 # 58
The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
정답：D
설명：
Per CISI UAE Financial Rules and Regulations, the compliance regulation guide submitted by licensing applicants must include procedures and mechanisms that ensure the compliance officer has access to sufficient resources. Adequate resources are critical for the compliance officer to effectively oversee adherence to regulatory requirements, manage risks, and implement compliance programs. This includes staffing, technology, training, and authority necessary to fulfill the role's responsibilities. While emergency powers or deputizing may be operationally important, the regulations emphasize resource adequacy as a fundamental compliance enabler.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Compliance Officer Requirements, Section 3.3.6 (2023).
질문 # 59
For how many days after issuing a report must an in-kind shares evaluator refrain from trading in securities associated with the subject of the evaluation?
정답：C
설명：
The rules governing evaluators of in-kind shares impose personal-dealing restrictions intended to preserve independence and prevent an evaluator from exploiting information obtained during the valuation process. An evaluator must disclose securities related to the evaluation report that they owned before preparing the report.
More importantly, the CISI UAE Financial Rules and Regulations imposes a defined dealing blackout surrounding publication of the valuation. The evaluator must refrain from trading securities associated with the subject of the evaluation, including related financial derivatives, for 15 days before issuing the evaluation report and five days after the report is issued . The question specifically asks for the post-report restriction, so the correct period is five days. Fifteen days is relevant, but it applies to the period preceding issuance and is therefore a deliberate distractor. Ten and thirty days are not the prescribed post-publication periods. These restrictions reduce the risk that an evaluator can personally benefit from valuation-sensitive information or create an appearance that the valuation was influenced by personal trading interests. Therefore, option A is correct.
질문 # 60
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참고: Fast2test에서 Google Drive로 공유하는 무료 2026 CISI UAE-Financial-Rules-and-Regulations 시험 문제집이 있습니다: https://drive.google.com/open?id=1k5Eqo0lYHMoNKZoOiR2t2EtCbFdxhMW_