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| Section | Weight | Objectives |
|---|---|---|
| Dubai Financial Market (DFM) | 11% | |
| Client Protection | 10% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Markets | 11% | - Disclosure and Transparency - General background |
| The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - SCA Resolutions - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% | |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
>> UAE-Financial-Rules-and-Regulations試験 <<
私たちは常に新しい知識を習得していますが、常に忘れられているプロセスであり、この問題を解決する方法を常に忘れてしまいます。答えは良い記憶方法を持つことです。UAE-Financial-Rules-and-Regulations試験問題はうまくいきます。この点について。 UAE-Financial-Rules-and-Regulationsの実際の試験教材には独自の学習方法があり、従来の暗記学習を放棄し、テキストとグラフィックスの記憶方法の組み合わせなど、多様な記憶パターンを採用して、知識の記憶を区別します。 UAE-Financial-Rules-and-Regulations学習リファレンスファイルは非常に科学的で合理的であるため、安全に購入できます。
質問 # 75
Which of the following financial activities comes under the fifth category licence?
正解：A
解説：
The fifth category licence under UAE financial regulations pertains specifically to credit rating agencies.
These entities assess the creditworthiness of issuers of debt, including governments and corporations, and their ratings are critical for investors and markets. The fifth category licence provides the legal framework for credit rating agencies to operate within the UAE's financial sector, ensuring they meet the regulatory standards and criteria set by the Securities and Commodities Authority (SCA). This helps ensure transparency, reliability, and trust in the credit ratings issued, which are vital for maintaining market stability and investor confidence.
Reference: CISI UAE Financial Rules and Regulations - Financial Activities Licences, Section 4.2.1 (2023).
質問 # 76
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
正解：A
解説：
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit 100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection.
This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).
質問 # 77
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：A
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 # 78
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 # 79
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
正解：D
解説：
According to CISI UAE Financial Rules and Regulations, applicants utilizing cloud-based servers must demonstrate that their outsourced service providers have provisions in place to guarantee zero data loss for a minimum of five years. This requirement protects the integrity and availability of critical financial data over the regulatory retention period. The five-year timeframe aligns with data retention standards for audit, compliance, and operational continuity in the UAE financial sector, ensuring that regulatory bodies and firms can access historical information for supervisory purposes.
Reference: CISI UAE Financial Rules and Regulations - IT and Data Management Requirements, Section
3.5.7 (2023).
質問 # 80
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