P.S. Testpdf在Google Drive上分享了免費的2026 CISI UAE-Financial-Rules-and-Regulations考試題庫：https://drive.google.com/open?id=1nvPkvcqoymxDofmpW8t1pf5hWutUKK0J
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| Section | Weight | Objectives |
|---|---|---|
| Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
>> UAE-Financial-Rules-and-Regulations認證指南 <<
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問題 #75
When a firm applies for a licence, it is only necessary to provide an exit strategy plan covering contract termination with an outsourced party if the firm intends to:
答案：A
解題說明：
The CISI UAE Financial Rules and Regulations imposes additional outsourcing controls when a licence applicant proposes to use cloud computing for servers, databases, applications, storage, networks or similar computing resources. The applicant must demonstrate a clear understanding of cloud-related risks and ensure that prescribed safeguards apply to the outsourced service provider. These include requirements concerning location of servers, confidentiality, annual external auditing of information security, data preservation and backup arrangements. Importantly, the applicant must provide an exit strategy plan dealing specifically with termination of the contract with the outsourced cloud service provider. The strategy must ensure that data and information can be maintained and transferred validly without loss and without breaching applicable laws or regulations. The requirement is consequently associated with cloud computing outsourcing rather than simply with the duration of an outsourcing agreement, the enforceability of a contract, or the fact that a service provider is situated outside the State. Indeed, the CISI rules require the relevant cloud servers to be inside the UAE. Therefore, option A is correct.
問題 #76
How long must licence applicants keep back-up copies of records?
答案：D
解題說明：
Licence applicants must establish comprehensive record-keeping procedures covering electronic and non- electronic records relating to the licensed body, technical guides and regulations, regulated activities, client transactions and data, account-opening agreements and other information connected with conducting financial activities. The CISI UAE Financial Rules and Regulations requires the mechanisms to permit retrieval of archived records within no more than three business days. More importantly for this question, the procedures must ensure that records are maintained securely for not less than ten years , with back-up copies retained for the same ten-year period and protected against damage or loss. This is distinct from the five-year retention period imposed by AML legislation for certain transaction and customer due-diligence records. The question concerns the broader record-keeping obligations of applicants for a financial-activities licence, where the ten-year requirement applies. Retention is therefore neither dependent on how long an individual client wishes records to remain available nor simply tied to the firm's entire corporate existence. The minimum specified period is ten years, making option D correct.
問題 #77
The semi-annual financial report for a local investment fund must be audited by an external auditor within what maximum period following the end of the reporting period?
答案：B
解題說明：
The UAE investment fund regulations distinguish between financial reports and other performance reports of a local fund. The investment fund administrator is responsible for maintaining the fund's accounts and preparing financial reports in accordance with International Financial Reporting Standards. The semi-annual financial report must be audited by an independent external auditor within no more than 45 days from the end of the relevant semi-annual period. In contrast, the annual financial report has a longer deadline: it must be audited by an independent external auditor within no more than three months after the end of the local fund's financial year. This distinction is important because another CISI requirement applies to the semi- annual performance report of a public fund, which has a different preparation deadline. The present question specifically asks about the semi-annual financial report and its external audit , so the applicable maximum is 45 days. Neither 35 days nor two or three months represents the required deadline for this report. Therefore, option B is correct.
問題 #78
The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?
答案：A
解題說明：
The Depository Centre is required to periodically report to the Authority on shareholders who hold more than
5% of equity in the Centre's capital. This threshold ensures that the Authority is informed about substantial holdings, which could influence corporate governance, voting rights, and overall control within the company.
The report helps maintain transparency regarding ownership structures, which is critical for monitoring potential conflicts of interest, shareholder influence, and market stability. Regular updates on these holdings contribute to the regulatory oversight of significant shareholders.
Reference: CISI UAE Financial Rules and Regulations - Reporting Requirements for Depository Centres, Section 7.1.2 (2023).
問題 #79
An appropriateness report must state:
答案：B
解題說明：
Under the CISI UAE Financial Rules and Regulations, an appropriateness assessment must be formally documented in an appropriateness report by the licensed entity providing execution-only services. The report must contain details of the financial products or services to be implemented for the client, the outcome of the appropriateness assessment, and a statement explaining the reason why implementation is considered appropriate or inappropriate for that client. The reasoning requirement is therefore fundamental because the report must demonstrate how the licensed entity reached its conclusion rather than simply record a result. The assessment considers factors such as the client's knowledge and experience, transaction history, education and professional background, and the appropriateness of the relevant products and financial markets. The rules do not require the report to state the author's professional status, specify consequences of ignoring advice, or prescribe a validity period for the assessment. Therefore, the requirement expressly corresponding to the CISI material is the reasoning behind the assessment, making option D correct.
問題 #80
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