2026 Die neuesten ZertFragen UAE-Financial-Rules-and-Regulations PDF-Versionen Prüfungsfragen und UAE-Financial-Rules-and-Regulations Fragen und Antworten sind kostenlos verfügbar: https://drive.google.com/open?id=1tbnTnCXFtC1ovcdhRfBdoxNcEPgYt_D8
Warum vertrauen wir ZertFragen so völlig auf unsere Produkte? Denn Viele Kunden haben mit Hilfe von CISI UAE-Financial-Rules-and-Regulations Prüfungssoftware die ausgezeichneten Leistungen vollbracht. Die Prüfungszertifizierung der CISI UAE-Financial-Rules-and-Regulations verbessert zweifellos Ihre Berufschancen. Wir wollen unsere Produkte verlässilicher machen, damit Sie unbesorgter auf die Prüfung vorbereiten. Außerdem versprechen wir, falls Sie nach der Benutzung der CISI UAE-Financial-Rules-and-Regulations noch mit der Prüfung scheitert, bieten wir Ihnen die volle Rückerstattung und entwickeln wir immer weiter bessere Prüfungssoftware der CISI UAE-Financial-Rules-and-Regulations.
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 2: Client Protection | 10% | |
| Topic 3: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 4: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 5: Trading | 11% | |
| Topic 6: Dubai Financial Market (DFM) | 11% | |
| Topic 7: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions - Federal Law No. 4 of 2000 |
| Topic 8: Markets | 11% | - General background - Disclosure and Transparency |
>> CISI UAE-Financial-Rules-and-Regulations Prüfungsfragen <<
Nun bieten viele Ausbildungsinstitute Ihnen die Schulungsunterlagen zur CISI UAE-Financial-Rules-and-Regulations Zertifizierungsprüfung. Meistens bekommen die Kandidaten per diese Websites keine ausführlichen Materialien. Denn ihre Materialien zur CISI UAE-Financial-Rules-and-Regulations Zertifizierungsprüfung sind breit gefächert und nicht zielgerichtet. So können sie keine Aufmerksamkeit der Kandidaten gewinnen.
73. Frage
Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
Antwort: C
Begründung:
UAE anti-money laundering regulations impose an explicit prohibition on financial institutions and designated non-financial businesses and professions (DNFBPs) dealing with shell banks. A shell bank is particularly problematic from an AML/CFT perspective because it typically lacks a meaningful physical presence and may not form part of an adequately regulated financial group. Such institutions can therefore be exploited to disguise beneficial ownership, obscure the movement of criminal proceeds or facilitate transactions outside effective regulatory supervision. The applicable UAE rules require relevant institutions to refrain from dealing with shell banks in any manner, including opening accounts for them or accepting funds or deposits from them. The prohibition does not apply merely because an organisation is structured as a mutual co-operative, benefit corporation or legitimate non-profit organisation; such entities may instead be subject to their own risk-based customer due diligence and monitoring requirements. The distinguishing regulatory prohibition in this question is therefore the dealing ban applicable to shell banks. Accordingly, option A is correct.
74. Frage
In order to deal in securities, what minimum level of paid-up capital must a firm have?
Antwort: C
Begründung:
Dealing in Securities is the first of the five financial-activity licence categories established under the SCA framework covered by the CISI UAE Financial Rules and Regulations. A firm applying for this category must generally be a legal person incorporated within the UAE or a branch of a foreign company and must maintain paid-up capital of not less than AED 30 million . The principal functions expected in a Category 1 firm include the Category Manager or Official, Compliance Officer and Risk Management Officer. Financial activities falling within the category include trading and clearing brokerage, trading brokerage in global markets, brokerage of specified non-exchange-traded derivative contracts and spot currencies, trading brokerage and securities dealing. The AED 50 million figure relates to higher capital requirements associated with other categories, including Dealing in Investment and Keeping, Clearing and Registration. AED 10 million and AED 20 million do not represent the prescribed Category 1 minimum. Therefore, for a firm licensed to deal in securities, the minimum paid-up capital required by the CISI material is AED 30 million and option C is correct.
75. Frage
Membership of an Authority regulated market is obligatory for which of the following entities?
Antwort: C
Begründung:
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).
76. Frage
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
Antwort: C
Begründung:
According to the CISI UAE Financial Rules and Regulations, the process for establishing a local investment fund, including a public fund, involves obtaining approval from the relevant regulatory authority, which is usually the Securities and Commodities Authority (SCA). For public funds, the authority is required to either grant or reject the application within 20 working days from the submission date. This time frame ensures that there is adequate time for the Authority to review the application, conduct necessary evaluations, and ensure that the fund complies with all regulatory and legal requirements. The 20-working-day period ensures efficiency while allowing for a thorough review.
Reference: CISI UAE Financial Rules and Regulations - Investment Fund Establishment Process, Section
6.2.1 (2023).
77. Frage
What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
Antwort: B
Begründung:
Under Federal Law No. 20 of 2018 and relevant CISI UAE Financial Rules and Regulations, the maximum term of imprisonment for a person who attempts to commit the crime of money laundering is five years. The law imposes stringent penalties to deter money laundering activities and ensure the integrity of the UAE's financial system. In addition to imprisonment, offenders may also face fines and asset confiscation. This punitive framework is designed to align with international AML standards, emphasizing the seriousness with which the UAE treats attempts to launder money, whether successful or not.
Reference: CISI UAE Financial Rules and Regulations - AML Criminal Sanctions, Section 8.4.3 (2023).
78. Frage
......
Wir sind der Schnellste, der daa CISI UAE-Financial-Rules-and-Regulations Zertifikat erhält; wir sind noch der höchste, der Ihre Interessen schützt. Wir sind ZertFragen. ZertFragen kann Ihnen versprechen, dass die Testaufgaben von CISI UAE-Financial-Rules-and-Regulations Zertifizierungsprüfung 100% richtig und ganz umfassend sind. Nachdem Sie die Testfragen zur CISI UAE-Financial-Rules-and-Regulations Zertifizierung gekauft haben, werden Sie kostenlos die einjährige Aktualisierung genießen.
UAE-Financial-Rules-and-Regulations Deutsch Prüfungsfragen: https://www.zertfragen.com/UAE-Financial-Rules-and-Regulations_prufung.html
P.S. Kostenlose 2026 CISI UAE-Financial-Rules-and-Regulations Prüfungsfragen sind auf Google Drive freigegeben von ZertFragen verfügbar: https://drive.google.com/open?id=1tbnTnCXFtC1ovcdhRfBdoxNcEPgYt_D8