UAE-Financial-Rules-and-Regulations関連試験 & UAE-Financial-Rules-and-Regulations日本語版サンプル

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

SectionWeightObjectives
Topic 1: Markets11%- Disclosure and Transparency
- General background
Topic 2: Investment Funds11%- The local fund
- Provisions specific to certain public funds
Topic 3: Dubai Financial Market (DFM)11%
Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 5: Licensed Bodies14%- Licensing financial activities
- Requirements of capital market institutions
- General provisions
Topic 6: The Regulatory Infrastructure17%- Codes of Conduct
- SCA Resolutions
- Securities & Commodities Authority (SCA)
- Corporate Governance (Law No. 3 issued Jan 2020)
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Federal Law No. 4 of 2000
- Accounting system controls (Decision No. 13/Chairman issued 2021)
Topic 7: Client Protection10%
Topic 8: Trading11%

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CISI UAE Financial Rules and Regulations Exam 認定 UAE-Financial-Rules-and-Regulations 試験問題 (Q19-Q24):

質問 # 19
During a trading session of the DFM, a selling transaction can be executed:

正解：B

解説：
The Dubai Financial Market operates an electronic, order-driven trading system during its continuous trading session. Once the market enters the normal trading phase, buy and sell orders can be entered and matched according to the applicable price and time priority rules. A security can therefore be bought or sold at any time throughout the continuous trading session , subject to market controls such as price limits, suspensions and other applicable trading restrictions. There is no general rule limiting selling transactions to the first 50 or 55 minutes of each hour, nor is selling universally prohibited during the final 15 minutes of the normal trading phase. The CISI material separately distinguishes continuous trading from pre-opening, pre- closing and closing sessions. During pre-closing, orders are accumulated for the closing auction, while during the final closing session firms cannot enter new orders, adjust existing orders or cancel them. The question, however, refers specifically to execution during the DFM trading session. Accordingly, option A correctly reflects continuous trading principles.


質問 # 20
The founders of a local investment fund must not dispose of the investment units owned by them for a period of at least:

正解：D

解説：
The investment-fund regulations impose specific commitment requirements on the founders of a self-managed local fund. Among these requirements, the founders must subscribe an amount of at least AED 5 million into the fund and must not dispose of the investment units owned by them for at least six months from the date of foundation . The lock-in period demonstrates that the founders retain a meaningful financial interest during the fund's initial operating period instead of establishing the fund and immediately disposing of their holdings. This helps align the founders' interests with those of other investors and supports stability during the early stages of the fund. The rule is distinct from other 12-month periods appearing elsewhere in the investment-fund framework, such as the period within which a newly licensed local fund must begin implementing its investment policy. Accordingly, applying a 9-, 12- or 18-month lock-in would incorrectly combine separate regulatory requirements. The explicit founders' disposal restriction is six months from foundation. Therefore, option A is correct.


質問 # 21
A real estate investment fund may borrow no more than what percentage of its total assets value?

正解：C

解説：
According to the CISI UAE Financial Rules and Regulations, real estate investment funds are subject to borrowing limits to ensure financial stability and prevent excessive leverage. A real estate investment fund may borrow no more than 50% of its total assets value. This limit helps mitigate the risks associated with high levels of debt and ensures that the fund remains adequately capitalized to handle fluctuations in the real estate market. By restricting the borrowing capacity, the regulations aim to protect investors and ensure the fund's long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Borrowing Limits for Real Estate Investment Funds, Section 6.1.5 (2023).


質問 # 22
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

正解：A

解説：
For a financial promotion that quotes yield figures to comply with the clear, fair, and not misleading rule, it must give a balanced impression of both short and long term prospects. This ensures that the promotion does not mislead the client by focusing too heavily on short-term returns or exaggerating long-term performance. A balanced presentation of both short and long-term outcomes is essential for providing a full, accurate picture of the investment, allowing clients to make informed decisions. This approach aligns with the principles of transparency and fairness that underpin financial regulation.
Reference: CISI UAE Financial Rules and Regulations - Financial Promotions and Yield Quotes, Section
5.2.3 (2023).


質問 # 23
The contract size for an India Gold Quanto Futures contract is:

正解：B

解説：
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.


質問 # 24
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