CISI UAE-Financial-Rules-and-Regulations復習対策 & UAE-Financial-Rules-and-Regulations日本語版試験解答

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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionObjectives
Topic 1: Anti-Money Laundering and Financial Crime- AML/CFT requirements in the UAE
  • 1. Suspicious transaction reporting
    • 2. Customer due diligence (CDD) and KYC
      - Financial crime prevention
      • 1. Fraud prevention controls
        • 2. Sanctions compliance obligations
          Topic 2: UAE Financial Regulatory Framework- Federal financial regulation structure
          • 1. Roles of central financial authorities
            • 2. Overview of UAE financial governance bodies
              - Securities and investment regulation
              • 1. Market conduct and compliance requirements
                • 2. Regulation of securities markets in the UAE
                  Topic 3: Financial Conduct and Compliance- Compliance and supervision
                  • 1. Compliance monitoring frameworks
                    • 2. Internal controls and governance
                      - Conduct of business standards
                      • 1. Fair dealing and market integrity principles
                        • 2. Client suitability and disclosure obligations
                          Topic 4: Regulatory Ethics and Professional Standards- Regulatory accountability
                          • 1. Regulatory reporting obligations
                            • 2. Responsibilities of financial professionals
                              - Ethical standards in financial services
                              • 1. Professional integrity expectations
                                • 2. Conflicts of interest management

                                  >> CISI UAE-Financial-Rules-and-Regulations復習対策 <<

                                  UAE-Financial-Rules-and-Regulations日本語版試験解答 & UAE-Financial-Rules-and-Regulationsテスト模擬問題集

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                                  CISI UAE Financial Rules and Regulations Exam 認定 UAE-Financial-Rules-and-Regulations 試験問題 (Q150-Q155):

                                  質問 # 150
                                  Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?

                                  正解：C

                                  解説：
                                  According to CISI UAE Financial Rules and Regulations, applicants utilizing cloud-based servers must demonstrate that their outsourced service providers have provisions in place to guarantee zero data loss for a minimum of five years. This requirement protects the integrity and availability of critical financial data over the regulatory retention period. The five-year timeframe aligns with data retention standards for audit, compliance, and operational continuity in the UAE financial sector, ensuring that regulatory bodies and firms can access historical information for supervisory purposes.
                                  Reference: CISI UAE Financial Rules and Regulations - IT and Data Management Requirements, Section
                                  3.5.7 (2023).


                                  質問 # 151
                                  In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

                                  正解：C

                                  解説：
                                  According to the CISI UAE Financial Rules and Regulations under Client Protection provisions, when a client buys and sells securities within the same trading session (day trading), the client must maintain sufficient credit to cover the value of purchase in their cash account at the time of the transaction. This rule ensures that clients have the necessary funds to settle their purchase obligations promptly, reducing settlement risk and maintaining market stability. Credit to cover sales is not required since sales generate funds rather than consume them. This provision supports orderly trading and financial discipline among market participants by preventing unsettled trades and possible defaults.
                                  Reference: CISI UAE Financial Rules and Regulations - Client Protection, Trading and Settlement Rules, Section 4.3.2 (2023).


                                  質問 # 152
                                  What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?

                                  正解：D

                                  解説：
                                  The Clearing, Settlement and Depository Department (CSD Department) at the Abu Dhabi Securities Exchange maintains electronic records relating to ownership and transfer of listed securities. An issuer wishing to list its securities must provide the ADX with its shareholders' register, including shareholder details, balances and relevant ownership restrictions. The issuer remains responsible for ensuring that the information supplied is complete, valid and accurate. After the shareholders' register has been uploaded onto the ADX's electronic systems, the CISI UAE Financial Rules and Regulations specifically states that the CSD Department sends a copy of the electronic register to the issuer for reconciliation purposes .
                                  Reconciliation enables the issuer to compare the electronic CSD record with its own information and identify inconsistencies before they affect ownership records or corporate actions. The procedure does not require issuing registration slips to every shareholder, notifying the Authority simply that uploading has occurred, or immediately storing an off-site disaster-recovery copy as the next prescribed step. Therefore, option C is correct.


                                  質問 # 153
                                  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:

                                  正解：C

                                  解説：
                                  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.


                                  質問 # 154
                                  If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?

                                  正解：B

                                  解説：
                                  If a listed company faces accumulated losses of 50% or more of its capital, the company is required to be moved from a first category listing to a second category of listing. This measure is designed to protect investors by ensuring that only financially stable companies remain in the primary listing category, which is subject to stricter regulatory oversight and higher investor expectations. The second category listing provides a lower level of visibility, which reflects the increased financial risks associated with such companies. This helps mitigate the potential impact on other market participants.
                                  Reference: CISI UAE Financial Rules and Regulations - Listing Categories and Financial Health, Section
                                  2.5.1 (2023).


                                  質問 # 155
                                  ......

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