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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 2: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 3: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Topic 5: Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Topic 6: Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| Topic 7: Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
>> UAE-Financial-Rules-and-Regulations資格受験料 <<
CISI試験に実際に参加して資料を選択する前に、このようなUAE-Financial-Rules-and-Regulations証明書を保持することの重要性を思い出してください。 このようなCISI証明書を取得すると、昇給、昇進の機会、上司や同僚からの信頼など、将来の多くの同意結果を習得するのに役立ちます。 これらすべての快い結果は、もはやあなたにとってUAE-Financial-Rules-and-Regulations夢ではありません。 そして、CISIのUAE-Financial-Rules-and-Regulations試験準備の助けを借りて、UAE-Financial-Rules-and-Regulations成績を改善し、人生の状態を変え、キャリアの驚くべき変化を得ることができます。 すべてはCISIの学習質問から始まります。
質問 # 62
Order cancellation can be carried out on the trading system. What happens if the order has already been traded?
正解：D
解説：
The CISI UAE Financial Rules and Regulations distinguishes between adjusting an active order and cancelling one. Certain elements of a live order may be modified while the order remains valid, although some changes can result in a new timestamp and altered execution priority. Cancellation is different: once an order is successfully cancelled through the trading system, the original order cannot subsequently be recovered. More importantly for this question, an order that has already been traded cannot be cancelled , because execution has already occurred. Where a cancellation request is submitted after the order has been traded, the system rejects the cancellation request . This preserves transactional finality and avoids attempting to reverse a completed execution through ordinary order-cancellation functionality. Any separate regulatory mechanism for cancelling or adjusting an executed transaction due to a technical error, breach of market rules or other prescribed circumstances is governed by different provisions and should not be confused with routine cancellation of an order. Therefore, where the order has already traded, option B-the request is rejected-is correct.
質問 # 63
The minimum paid-up capital requirement for ranking and advice firms is:
正解：A
解説：
Under CISI UAE Financial Rules and Regulations, firms offering ranking and advisory services in the financial sector must meet a minimum paid-up capital requirement of AED 5 million. This capital threshold ensures that such firms have sufficient financial resources to maintain operational stability, manage risks, and fulfill regulatory obligations. It also reflects the level of responsibility these firms carry in providing investment advice and rankings that impact market participants. Higher capital requirements apply to more systemically significant entities, but the AED 5 million benchmark balances accessibility and prudence for ranking and advice firms.
Reference: CISI UAE Financial Rules and Regulations - Licensing Capital Requirements, Section 3.2.5 (2023).
質問 # 64
Which of the following features of a previous order can be changed with the order remaining valid?
正解：B
解説：
In UAE financial markets, certain order attributes can be modified after submission while keeping the order active. According to the CISI UAE Financial Rules and Regulations on Trading, thevolumeof a previous order is the feature that can be changed without invalidating the order. Adjusting volume allows traders to increase or decrease the quantity of securities to be traded without withdrawing and resubmitting the order.
However, changes to share category, market, or order type typically require cancellation of the existing order and placing a new one, as these changes affect the fundamental nature and execution venue of the order. This flexibility in modifying volume supports market efficiency and helps traders respond swiftly to changing conditions while maintaining order validity.
Reference:CISI UAE Financial Rules and Regulations - Trading Rules and Order Modifications, Section
7.1.5 (2023).
質問 # 65
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
正解：A
解説：
Under Federal Law No. 20 of 2018 and related CISI UAE Financial Rules and Regulations, issuers arranging crypto asset offerings must establish controls to prevent subscriptions being taken at excessive levels from non-qualified investors. This is a key investor protection and anti-money laundering measure designed to restrict high-risk investment exposure to those with adequate knowledge, resources, and risk appetite. By enforcing subscription limits for non-qualified investors, the regulations mitigate fraud, market manipulation, and financial losses while ensuring regulatory compliance. Controls over pricing discretion or fluctuations, while relevant, are not the central regulatory concern in this context.
Reference: CISI UAE Financial Rules and Regulations - AML and Crypto Asset Issuance Controls, Section
8.2.4 (2023).
質問 # 66
The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:
正解：B
解説：
Disclosing a licensed body's legal status and its licensing by the Authority is crucial because it enables clients and others who may suffer from perceived or actual misbehaviour to raise their concerns with the regulator.
This transparency mechanism empowers investors and market participants to seek redress and promotes regulatory oversight. While the disclosure also signifies the firm's subjection to regulatory supervision, the primary benefit is facilitating complaint handling and protection. It does not imply that no misbehaviour occurs, nor does it authorize the unauthorised use of the Authority's branding by third parties.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Regulatory Disclosure, Section 4.1.8 (2023).
質問 # 67
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UAE-Financial-Rules-and-Regulations試験資料の一つの利点は時間を節約できることです。言い換えば、受験者は短い時間をかけて勉強したら、UAE-Financial-Rules-and-Regulations試験に合格できます。従って、UAE-Financial-Rules-and-Regulations試験資料を勉強する時間が短くてもいいです。UAE-Financial-Rules-and-Regulations試験資料はそんなにいい商品、何故選びませんか?また、弊社はいいサービスを提供します。UAE-Financial-Rules-and-Regulations資料を勉強するとき、何か質問がありましたら、弊社と連絡できます。
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さらに、JPNTest UAE-Financial-Rules-and-Regulationsダンプの一部が現在無料で提供されています：https://drive.google.com/open?id=1qI1N_ZXuuRf5SVLeU2DRI42EAJ0an94s