UAE-Financial-Rules-and-Regulationsテスト参考書、UAE-Financial-Rules-and-Regulations日本語サンプル

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

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

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UAE-Financial-Rules-and-Regulations日本語サンプル & UAE-Financial-Rules-and-Regulations試験合格攻略

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CISI UAE Financial Rules and Regulations Exam 認定 UAE-Financial-Rules-and-Regulations 試験問題 (Q35-Q40):

質問 # 35
If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?

正解：C

解説：
The UAE rules governing listed debt securities give the Authority power to suspend trading and, in prescribed circumstances, cancel a listing entirely. The CISI UAE Financial Rules and Regulations states that the Authority may cancel the listing of debt securities where a decision has been made to dissolve or wind up the issuer, where the suspension of the listing continues for more than six months, or where the relevant debt securities have been completely redeemed. Once a listing is cancelled or suspended, trading in the affected debt securities is prohibited. The rules also make clear that neither the Authority nor the market is responsible for compensating persons suffering losses as a consequence of the suspension or cancellation. Although regulatory intervention may involve additional disclosures or remedial action in other circumstances, the specific consequence expressly available when a debt-security listing has remained suspended for more than six months is cancellation of that listing. There is no corresponding requirement in this provision for an at-risk register, automatic fine, or immediate recovery plan. Therefore, option D is correct.


質問 # 36
If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?

正解：C

解説：
Under CISI UAE Financial Rules and Regulations, if a Special Purpose Acquisition Company (SPAC) does not complete a business combination within the stipulated timeframe, it must initiate measures to return the funds to investors within a maximum of 20 business days. This safeguard ensures that investors are not indefinitely exposed to risks related to unutilized capital in the SPAC, maintaining market discipline and investor protection. The regulations mandate clear timelines for fund returns to prevent misuse or undue delay, aligning with international SPAC best practices. Timely fund returns uphold investor confidence and market integrity, essential in the UAE's evolving financial landscape.
Reference: CISI UAE Financial Rules and Regulations - SPAC Regulations, Investor Protection and Fund Return, Section 6.3.8 (2023).


質問 # 37
One of the financial activities included within "dealing in investment" and expected to be conducted by a Financial Analyst is:

正解：D

解説：
The second SCA licence category is Dealing in Investment . The CISI UAE Financial Rules and Regulations identifies the principal functions for firms in this category as Category Manager or Official, Compliance Officer, Risk Management Officer and Investment Operations Manager. It then distinguishes the underlying financial activities and the approved jobs associated with them. The activities include managing investment funds' investments, managing securities portfolios and providing administrative services for investment funds.
For investment-management activities, approved positions include Fund Investment Manager or Portfolio Manager, Principal Financial Analyst and Financial Analyst . Therefore, managing securities portfolios is an activity within the Dealing in Investment category for which the Financial Analyst role is relevant. Trading brokerage and securities dealing instead belong to the first licence category, Dealing in Securities.
Administrative services for investment funds is included in Category 2, but the CISI table records no corresponding Financial Analyst approved job for that activity. Consequently, option C is the only response combining the correct regulated activity with the Financial Analyst role.


質問 # 38
There is a regulatory obligation placed on the evaluator of an investment fund's in-kind shares to indicate whether the shares:

正解：B

解説：
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.


質問 # 39
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:

正解：A


質問 # 40
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