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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 2: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 3: The Regulatory Infrastructure | 17% | - Codes of Conduct - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 |
| Topic 4: Dubai Financial Market (DFM) | 11% | |
| Topic 5: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 6: Client Protection | 10% | |
| Topic 7: Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Topic 8: Trading | 11% |
>> UAE-Financial-Rules-and-Regulations시험문제 <<
Pass4Test는CISI UAE-Financial-Rules-and-Regulations시험을 패스할 수 있는 아주 좋은 사이트입니다. Pass4Test은 아주 알맞게 최고의CISI UAE-Financial-Rules-and-Regulations시험문제와 답 내용을 만들어 냅니다. 덤프는 기존의 시험문제와 답과 시험문제분석 등입니다. Pass4Test에서 제공하는CISI UAE-Financial-Rules-and-Regulations시험자료의 문제와 답은 실제시험의 문제와 답과 아주 비슷합니다.
질문 # 39
There is a regulatory obligation placed on the evaluator of an investment fund's in-kind shares to indicate whether the shares:
정답：D
설명：
Under the CISI provisions concerning evaluation of in-kind shares for investment funds, an evaluator has specific responsibilities relating to valuation quality, liquidity and risk. The evaluator must prepare the evaluation report in accordance with applicable international standards, use sufficient and complete information, properly assess the asset and clarify whether the in-kind shares provided to the investment fund are capable of being liquidated. This liquidity determination is important because an asset that cannot readily be disposed of may materially affect the fund's ability to implement its investment policy, meet liquidity requirements or realise value for investors. The evaluator must also analyse risks associated with the evaluated asset and reflect their potential effect on future expectations and assumptions used in the valuation.
The CISI requirement does not specifically require the evaluator, for this purpose, to state whether the shares were acquired at a discount, classify them as short- or long-term assets, or identify them as capital-growth or income-oriented investments. Consequently, option B directly corresponds to the evaluator obligation specified in the CISI study material.
질문 # 40
Omar and Rashid are Authority board members and the appointment period for both of them is about to expire. Why can only Omar's appointment be renewed?
정답：B
설명：
The Securities and Commodities Authority's governance arrangements prescribe a defined term for membership of its Board of Directors. The Authority states that Board membership is for four years and is renewable for one further term only, with the specified exception relating to the Chief Executive. This creates a maximum of two terms for an ordinary board member. In the scenario, Omar has completed only one term, so his appointment may legally be renewed for a second term. Rashid, however, has already completed two terms and has therefore exhausted the permitted renewal limit. The distinction has nothing to do with the relative ages of the two members, whether they own securities, or whether either receives remuneration.
Indeed, regulatory governance provisions are intended to ensure appropriate independence, experience and periodic renewal of the Authority's governing body rather than make continued service dependent upon securities ownership or compensation. Consequently, the decisive factor is the number of terms already served. Omar remains eligible for one renewal while Rashid does not. Therefore, option D is correct.
질문 # 41
When a firm performs internal reconciliations of the financial instruments held for each client, what must it do if the reconciliation shows a discrepancy?
정답：B
설명：
The CISI UAE Financial Rules and Regulations requires firms holding client financial instruments to carry out reconciliations between their internal records of each client's entitlement and the financial instruments actually held by the firm or by third parties. Where such a reconciliation identifies a discrepancy, the firm must make good, or provide the equivalent of, any shortfall for which it is responsible . If another person is responsible for the discrepancy, the firm must instead take reasonable steps to resolve the position with that person. Firms must also notify the regulator without delay if they fail to comply with the applicable reconciliation requirements. This rule is distinct from the separate requirements governing internal reconciliations of client money , where a discrepancy must be investigated and a cash shortfall paid into the client bank account, or an excess removed, by close of business on the day the reconciliation is performed.
Therefore, neither a 30-day notification period nor a seven-day correction period applies here. Option D precisely reflects the CISI requirement.
질문 # 42
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
정답：A
설명：
Per CISI UAE Financial Rules and Regulations, the watch list monitored by the Authority's committee consists of all public companies that have declared losses in the last 12 months. These companies are subject to closer regulatory scrutiny to protect investors and maintain market stability. Monitoring focuses on financial health indicators that might signal increased risk, ensuring timely intervention if necessary. Private companies are generally not included in this watch list, which targets publicly traded entities with broader investor impact.
Reference: CISI UAE Financial Rules and Regulations - Market Surveillance and Watch List, Section 5.6.4 (2023).
질문 # 43
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：D
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 # 44
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