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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Topic 2: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 3: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Topic 5: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 6: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Topic 7: Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
>> UAE-Financial-Rules-and-Regulations덤프문제 <<
CISI UAE-Financial-Rules-and-Regulations 덤프의 높은 적중율에 놀란 회원분들이 계십니다. 고객님들의 도와 CISI UAE-Financial-Rules-and-Regulations 시험을 쉽게 패스하는게 저희의 취지이자 최선을 다해 더욱 높은 적중율을 자랑할수 있다록 노력하고 있습니다. 뿐만 아니라 DumpTOP에서는한국어 온라인서비스상담, 구매후 일년무료업데이트서비스, 불합격받을수 환불혹은 덤프교환 등탄탄한 구매후 서비스를 제공해드립니다.
질문 # 84
The approved job for conducting securities dealing is:
정답：B
설명：
In the CISI UAE Financial Rules and Regulations, the role formally authorized to conduct securities dealing is that of a Broker Representative. This role is specifically licensed and trained to execute trades on behalf of clients and manage securities transactions within regulatory frameworks. Other positions like Trading Manager or Operations Manager have important but different operational and supervisory functions and do not directly engage in client securities dealing. The Broker Representative's licensing ensures adherence to professional standards, client protection, and market integrity.
Reference: CISI UAE Financial Rules and Regulations - Licensing and Job Roles, Section 3.1.9 (2023).
질문 # 85
A licensed body submitted a requested document to the Authority and a short time later noticed that it was incomplete. How soon must it notify the Authority of this issue?
정답：A
설명：
Licensed bodies are subject to continuing obligations regarding information and documentation supplied to the Securities and Commodities Authority and other capital-market institutions. The CISI material requires a licensed body to notify the relevant entity immediately after discovering that information or documents previously submitted are incorrect, misleading, incomplete, inaccurate, outdated or have subsequently changed. The licensed body should identify the affected information or documents and explain the reason for the deficiency or change. This requirement protects the integrity of regulatory supervision because the Authority makes licensing, compliance and enforcement decisions using information submitted by regulated entities. Allowing inaccurate or incomplete material to remain uncorrected could undermine that supervisory process. The obligation is deliberately framed as an immediate notification requirement rather than allowing a fixed 48-hour, 72-hour or end-of-week correction period. The licensed body must also retain sufficient evidence showing that requested information and documents were properly delivered or submitted.
Consequently, once the firm discovers that the requested document was incomplete, it must notify the Authority immediately. Therefore, option A is correct.
질문 # 86
If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?
정답：A
설명：
According to CISI UAE Financial Rules and Regulations, when in-kind shares are provided at fund inception and the subscription fails, the founders bear the related expenses in the absence of any special agreement. This allocation reflects the founders' responsibility in establishing and capitalizing the fund and absorbing initial setup costs, including those related to failed subscriptions. Share providers, auditors, or evaluators are not typically liable for such expenses unless contractual terms explicitly assign such responsibility. This regulatory stance encourages clarity and accountability in fund founding arrangements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Incorporation and Expense Allocation, Section 6.2.11 (2023).
질문 # 87
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?
정답：B
설명：
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, lawyers, notary publics, and other legal professionals may be exempt from suspicious transaction reporting requirements when providing legal opinions related to legal proceedings. This exemption recognizes the privileged nature of legal advice and the confidentiality inherent in legal representation. However, when these professionals engage in financial or transactional activities outside the scope of legal proceedings, such as advising on financial transactions or real estate deals, they must comply with reporting obligations to prevent money laundering.
The exemption balances legal professional privilege with AML/CTF requirements.
Reference: CISI UAE Financial Rules and Regulations - AML Exemptions for Legal Professionals, Section
8.3.1 (2023).
질문 # 88
On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?
정답：C
설명：
The Dubai Gold & Commodities Exchange (DGCX) provides trading for Dubai India Quanto Crude Oil futures with a contract tenor that includes 12 delivery months available for trading at any given time. This rolling 12-month schedule allows market participants to hedge or speculate on crude oil prices across the upcoming year, providing liquidity and flexibility. The availability of 12 delivery months is a standard practice for energy futures contracts, facilitating continuous market engagement and risk management over a full annual cycle. This structure is detailed in the DGCX contract specifications and is consistent with the UAE's commodity trading regulations aimed at market efficiency and transparency.
Reference: CISI UAE Financial Rules and Regulations - Commodity Markets and Futures Trading, DGCX Specifications, Section 7.4.1 (2023).
질문 # 89
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최근들어 CISI UAE-Financial-Rules-and-Regulations시험이 큰 인기몰이를 하고 있는 가장 핫한 IT인증시험입니다. CISI UAE-Financial-Rules-and-Regulations덤프는CISI UAE-Financial-Rules-and-Regulations시험 최근문제를 해석한 기출문제 모음집으로서 시험패스가 한결 쉬워지도록 도와드리는 최고의 자료입니다. CISI UAE-Financial-Rules-and-Regulations인증시험을 패스하여 자격증을 취득하면 보다 쉽고 빠르게 승진할수 있고 연봉인상에도 많은 도움을 얻을수 있습니다.
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