2026 Itcertkr 최신 UAE-Financial-Rules-and-Regulations PDF 버전 시험 문제집과 UAE-Financial-Rules-and-Regulations 시험 문제 및 답변 무료 공유: https://drive.google.com/open?id=1F1uZX8gvHk7trFrQOJQqtAXVmexMo0qi
Itcertkr의CISI인증 UAE-Financial-Rules-and-Regulations 덤프는 수많은 시험준비 공부자료 중 가장 믿음직합니다. Itcertkr의 인지도는 업계에 널리 알려져 있습니다. CISI인증 UAE-Financial-Rules-and-Regulations덤프로CISI인증 UAE-Financial-Rules-and-Regulations시험을 준비하여 한방에 시험패스한 분이 너무나도 많습니다. CISI인증 UAE-Financial-Rules-and-Regulations덤프는 실제CISI인증 UAE-Financial-Rules-and-Regulations시험문제에 초점을 맞추어 제작한 최신버전 덤프로서 시험패스율이 100%에 달합니다.
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 2: The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - Codes of Conduct - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Topic 3: Trading | 11% | |
| Topic 4: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 8: Client Protection | 10% |
>> UAE-Financial-Rules-and-Regulations시험준비공부 <<
Itcertkr이 바로 아주 좋은CISI UAE-Financial-Rules-and-Regulations인증시험덤프를 제공할 수 있는 사이트입니다. Itcertkr 의 덤프자료는 IT관련지식이 없는 혹은 적은 분들이 고난의도인CISI UAE-Financial-Rules-and-Regulations인증시험을 패스할 수 있습니다. 만약Itcertkr에서 제공하는CISI UAE-Financial-Rules-and-Regulations인증시험덤프를 장바구니에 넣는다면 여러분은 많은 시간과 정신력을 절약하실 수 있습니다. 우리Itcertkr 의CISI UAE-Financial-Rules-and-Regulations인증시험덤프는 Itcertkr전문적으로CISI UAE-Financial-Rules-and-Regulations인증시험대비로 만들어진 최고의 자료입니다.
질문 # 105
Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
정답：B
설명：
Where in-kind shares are contributed to a local investment fund, the prospectus must provide comprehensive disclosure so that investors understand the nature and potential valuation risks of those assets. The SCA investment-fund regulations require the prospectus to provide full information about each in-kind share, its owner and value, the number of units issued against it and a summary of the in-kind valuation report. It must additionally explain the extent to which the in-kind shares can subsequently be disposed of and the extent to which their values may vary after the fund has been established according to market circumstances and subsequent valuation reports . Option A therefore accurately captures the required disclosure concerning potential fluctuations in value. There is no requirement in this provision to identify alternative assets that were considered. An evaluation report is not treated as unnecessary; instead, its summary is specifically required.
Nor does this particular prospectus disclosure require the fund to identify specific legislation authorising the contribution. The regulatory focus is transparency over valuation and liquidity risks. Therefore, option A is correct.
질문 # 106
An introducer approved by the Authority is obliged to obtain further approval before:
정답：B
설명：
Under the CISI UAE Financial Rules and Regulations, an introducer is a corporate entity approved by the Securities and Commodities Authority to introduce potential clients to firms providing financial activities or services. Once approved, the introducer remains subject to six specific obligations. These include disclosing the introduction procedures and any commissions receivable, disclosing its relationship with each party, refraining from providing financial consultation or analysis unless separately licensed, and not receiving clients' funds, assets, orders or requests other than properly disclosed commissions. Crucially, an introducer must obtain the Authority's approval before conducting any introduction business outside the UAE. Receiving a disclosed commission is expressly contemplated by the rules and therefore does not itself require a new approval. Nor do ordinary introductions to legal entities or requests for legitimate referrals create the specific approval requirement tested here. The territorial extension of introduction activities outside the UAE is the regulatory trigger. Therefore, option B correctly reflects the CISI requirement.
질문 # 107
For dual-listed companies (foreign companies) on the Dubai Financial Market (DFM), the opening price for the security on the first trading day on the DFM is based on the:
정답：C
설명：
Special pricing arrangements apply when securities of a foreign company are already traded on another financial market and subsequently become dual-listed on the Dubai Financial Market. According to the CISI UAE Financial Rules and Regulations, the opening price for the security on its first trading day on the DFM is based on its last closing price in the principal market . This gives the DFM a current and objectively observable reference price from the market in which the security has its principal listing and established trading history. The DFM's normal maximum and minimum daily price-margin limits can then be applied according to market procedures from the first trading day. The rules also permit market management to introduce different procedures for foreign shares where circumstances justify doing so. The relevant benchmark is not the last opening price, because that may no longer reflect the most recent trading information. Nor is a price from a secondary market used where the principal-market closing price is available. Therefore, option C is correct.
질문 # 108
Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
정답：A
설명：
CISI UAE Financial Rules and Regulations recognize the concept of a Chinese wall, which permits employees in one part of a regulated business to withhold certain information from employees in other parts.
This internal information barrier is designed to prevent conflicts of interest and insider trading by restricting the flow of sensitive or non-public information between departments. By implementing Chinese walls, firms ensure compliance with legal and regulatory requirements, uphold market integrity, and protect client interests. While audit requests and privacy concerns are valid, the primary regulatory rationale for withholding information internally is to maintain effective Chinese walls.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Information Barriers, Section 3.4.10 (2023).
질문 # 109
The role of the authorised agent of the exchange-traded fund (ETF) is to:
정답：C
설명：
The authorised agent of an ETF has a critical role in maintaining transparency and liquidity in the market.
According to CISI UAE Financial Rules and Regulations, the authorised agent is responsible for regularly announcing the indicative value of the net assets of the ETF units. This indicative net asset value (iNAV) provides investors and market participants with a near real-time estimate of the underlying assets' value, reflecting market fluctuations throughout the trading day. Unlike the official net asset value (NAV), which is typically calculated at the end of the trading day, the iNAV supports intra-day trading decisions and helps maintain price alignment between the ETF units and their underlying assets. This responsibility is fundamental in ensuring efficient price discovery and protecting investor interests in the ETF market.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and ETF Operations, Section
6.4.2 (2023).
질문 # 110
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UAE-Financial-Rules-and-Regulations최신 인증시험 공부자료: https://www.itcertkr.com/UAE-Financial-Rules-and-Regulations_exam.html
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