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試験の準備をするためにXhs1991のCISIのUAE-Financial-Rules-and-Regulations試験トレーニング資料を買うのは冒険的行為と思ったとしたら、あなたの人生の全てが冒険なことになります。一番遠いところへ行った人はリスクを背負うことを恐れない人です。また、Xhs1991のCISIのUAE-Financial-Rules-and-Regulations試験トレーニング資料が信頼できるのは多くの受験生に証明されたものです。Xhs1991のCISIのUAE-Financial-Rules-and-Regulations試験トレーニング資料を利用したらきっと成功できますから、Xhs1991を選ばない理由はないです。
| Section | Weight | Objectives |
|---|---|---|
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
>> UAE-Financial-Rules-and-Regulations復習テキスト <<
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質問 # 70
The summary of an in-kind shares evaluation report must state the:
正解：B
解説：
The CISI UAE Financial Rules and Regulations specifies mandatory information that must appear in the summary of an in-kind shares evaluation report. The summary must disclose the fair value of the evaluated asset , together with confirmation concerning whether obligations, debts, mortgages, rights or other guarantees are charged over that asset in favour of third parties. It must also identify the valuation methodologies used by the evaluator to determine fair value in accordance with professionally recognised principles appropriate to the asset concerned. Fair value is central because the valuation determines the economic value attributed to the in-kind contribution and consequently affects the number and value of investment-fund units issued in exchange for that contribution. The book value may differ materially from current economic value and is therefore not the specified disclosure tested here. Although information concerning the evaluator and its independence is relevant elsewhere in the regulatory framework, neither the evaluator's qualifications nor the name of the evaluator's company substitutes for the mandatory fair-value disclosure. Accordingly, option B is correct.
質問 # 71
For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:
正解：A
解説：
Per CISI UAE Financial Rules and Regulations governing investment funds, a semi-annual report on the public fund's performance must be prepared no later than 2 months from the end of the semi-annual period.
This reporting timeline ensures timely disclosure to investors and regulators, providing transparency about fund performance, investment activities, and compliance with regulatory standards. The semi-annual report serves as a key accountability mechanism, enabling investors to make informed decisions and maintain confidence in the fund management. The requirement for a two-month deadline aligns with global best practices in fund reporting.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Reporting Requirements, Section
6.5.4 (2023).
質問 # 72
An Authority resolution was passed by the Chairman alone. Why was this possible?
正解：A
解説：
The CISI UAE Financial Rules and Regulations explains the normal decision-making process of the Authority's Board and the specific exception permitting the Chairman to act independently. Ordinarily, a valid Board meeting requires attendance by the prescribed majority, including the Chairman or deputy, and resolutions are determined by a majority of votes. The Chairman has a casting vote where voting is equal, but this does not give the Chairman a general power to make unilateral decisions. An exception arises where circumstances require a quick decision and it is impossible to convene a Board meeting . In that situation, the Chairman may take the necessary decision personally. The decision is not final in isolation: it must be presented to the Board at the earliest opportunity, when the Board may affirm, amend or revoke it. Merely being unable to assemble every Board member is insufficient because unanimity is not normally required.
Therefore, the combination of urgency, exceptional circumstances and inability to hold a Board meeting makes option C correct.
質問 # 73
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：B
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 # 74
Membership of an Authority regulated market is obligatory for which of the following entities?
正解：C
解説：
Under the UAE regulatory framework, membership of an Authority-regulated market is obligatory for listed joint-stock companies, licensed brokers, and other listed entities. This requirement ensures that all entities involved in public trading or listed on the market adhere to the regulatory standards set by the market's governing body. It provides a structured environment for trading and market oversight, promoting transparency and fairness. The inclusion of licensed brokers and other listed entities ensures that all market participants are subject to the same rules, helping to maintain integrity and stability in the market.
Reference: CISI UAE Financial Rules and Regulations - Market Membership Requirements, Section 3.1.4 (2023).
質問 # 75
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