참고: Itexamdump에서 Google Drive로 공유하는 무료 2026 CISI UAE-Financial-Rules-and-Regulations 시험 문제집이 있습니다: https://drive.google.com/open?id=1FHvZMUAnIpksXDFF2Er21PBc5lEuQsom
IT업계에 종사하는 분이라면 국제적으로 인정받는 IT인증시험에 도전하여 자격증을 취득하셔야 합니다. Itexamdump의 CISI인증 UAE-Financial-Rules-and-Regulations덤프는 이 시험에 참가한 IT인사들의 검증을 받은 최신 시험대비 공부자료입니다. Itexamdump의 CISI인증 UAE-Financial-Rules-and-Regulations덤프로 시험을 쉽게 패스하여 자격증을 취득하면 승진이나 연봉인상에 많은 편리를 가져다드립니다. 저희는 항상 여러분들의 곁을 지켜줄것입니다.
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 2: Client Protection | 10% | |
| Topic 3: Dubai Financial Market (DFM) | 11% | |
| Topic 4: Trading | 11% | |
| Topic 5: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 6: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 7: The Regulatory Infrastructure | 17% | - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - SCA Resolutions - Securities & Commodities Authority (SCA) |
| Topic 8: Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
>> UAE-Financial-Rules-and-Regulations인기시험 <<
우리의 덤프는 기존의 시험문제와 답과 시험문제분석 등입니다. Itexamdump에서 제공하는CISI UAE-Financial-Rules-and-Regulations시험자료의 문제와 답은 실제시험의 문제와 답과 아주 비슷합니다. Itexamdump는 여러분이 한번에CISI UAE-Financial-Rules-and-Regulations인증시험을 패스함을 보장 드립니다.
질문 # 47
If a financial institution breaches the regulations relating to terrorist financing, what is the maximum administrative penalty that can be imposed for each violation?
정답：D
설명：
The CISI UAE Financial Rules and Regulations sets out a range of administrative sanctions that may be imposed on financial institutions and designated non-financial businesses and professions that violate the AML/CFT legislation. These sanctions include warnings, restrictions on individuals working within the relevant sector, limitations on the powers of directors or senior management, and financial penalties. For each violation concerning money laundering or terrorist financing requirements, the administrative financial penalty may range from AED 50,000 up to AED 5,000,000 . The amount imposed will depend on the nature and seriousness of the breach and the supervisory authority's assessment of the circumstances. This administrative sanction must be distinguished from criminal penalties that may apply where a person actually commits terrorist financing or money laundering. The question asks specifically for the maximum administrative penalty per violation , not a criminal fine. Therefore, AED 1 million, AED 2 million and AED 3 million are all below the prescribed maximum. The correct answer is AED 5 million.
질문 # 48
Which of the following does the Authority require licensed bodies to do in respect of close ties with other firms?
정답：C
설명：
The Authority requires licensed bodies to ensure that ownership, management or other close relationships with third parties do not interfere with effective regulatory supervision. Under the CISI UAE Financial Rules and Regulations, a licensed body must notify the Authority of any close ties and ensure that those ties will not impede the Authority's supervision and control. The person or entity with whom the close relationship exists must also satisfy applicable efficiency and appropriateness standards, and the licensed body must be prepared to supply documentation and information concerning the relationship whenever requested. If the Authority concludes that a close tie is inconsistent with licensing requirements or may obstruct supervision, it may require the relationship to be amended or terminated and may impose appropriate sanctions for non- compliance. The rule does not state that every close tie requires prior approval, nor does it restrict close ties exclusively to capital-market firms or branches of the same organisation. The operative obligation is notification combined with preservation of effective regulatory oversight. Therefore, option A is correct.
질문 # 49
Which of the following features of a previous order can be changed with the order remaining valid?
정답：D
설명：
In UAE financial markets, certain order attributes can be modified after submission while keeping the order active. According to the CISI UAE Financial Rules and Regulations on Trading, thevolumeof a previous order is the feature that can be changed without invalidating the order. Adjusting volume allows traders to increase or decrease the quantity of securities to be traded without withdrawing and resubmitting the order.
However, changes to share category, market, or order type typically require cancellation of the existing order and placing a new one, as these changes affect the fundamental nature and execution venue of the order. This flexibility in modifying volume supports market efficiency and helps traders respond swiftly to changing conditions while maintaining order validity.
Reference:CISI UAE Financial Rules and Regulations - Trading Rules and Order Modifications, Section
7.1.5 (2023).
질문 # 50
Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:
정답：A
설명：
For self-funded founders accepting in-kind shares into a fund, the CISI UAE Financial Rules and Regulations require that the fund prospectus clearly state whether such shares are consistent with the fund's investment strategy. This ensures transparency for investors regarding the nature and suitability of the assets held within the fund. Declaring consistency with the investment strategy helps investors assess the fund's objectives and risk profile accurately. Other details like valuation and disposal are important but the primary disclosure focus is on strategic alignment to maintain trust and regulatory compliance. This requirement underscores the importance of fund governance and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds, Fund Prospectus Requirements, Section 6.2.4 (2023).
질문 # 51
The Authority is permitted to cancel the licence of a licensed body if it fails to practise any financial activity within what prescribed period after obtaining the category licence?
정답：D
설명：
The Authority has the power to cancel the licence of a licensed body, or cancel approval to practise a particular financial activity, in several specified circumstances. One of these circumstances arises when a licensed body does not actually commence the activities for which it has been authorised. The CISI UAE Financial Rules and Regulations states that if, for a period of six months from the date of obtaining the category licence, the licensed body has not practised at least one financial activity specified within that licence, the Authority may cancel the licence. This requirement prevents entities from obtaining regulatory authorisation and leaving it dormant indefinitely without conducting the regulated business for which the licence was granted. Other grounds for cancellation include failure to satisfy licence conditions, serious breaches of duties or obligations, submission of misleading or forged documentation, non-payment of prescribed fees or fines, bankruptcy-related circumstances, dissolution or liquidation. For the inactivity condition tested here, however, the relevant period is specifically six months. Therefore, option A is correct.
질문 # 52
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Itexamdump 의 학습가이드에는CISI UAE-Financial-Rules-and-Regulations인증시험의 예상문제, 시험문제와 답입니다. 그리고 중요한 건 시험과 매우 유사한 시험문제와 답도 제공해드립니다. Itexamdump 을 선택하면 Itexamdump 는 여러분을 빠른시일내에 시험관련지식을 터득하게 할 것이고CISI UAE-Financial-Rules-and-Regulations인증시험도 고득점으로 패스하게 해드릴 것입니다.
UAE-Financial-Rules-and-Regulations퍼펙트 덤프 최신버전: https://www.itexamdump.com/UAE-Financial-Rules-and-Regulations.html
참고: Itexamdump에서 Google Drive로 공유하는 무료, 최신 UAE-Financial-Rules-and-Regulations 시험 문제집이 있습니다: https://drive.google.com/open?id=1FHvZMUAnIpksXDFF2Er21PBc5lEuQsom