참고: ITDumpsKR에서 Google Drive로 공유하는 무료, 최신 UAE-Financial-Rules-and-Regulations 시험 문제집이 있습니다: https://drive.google.com/open?id=1lPinNmgN8bxx7s0sGtR6H5NqDbuNUP3z
ITDumpsKR의 CISI UAE-Financial-Rules-and-Regulations덤프로CISI UAE-Financial-Rules-and-Regulations시험준비를 하면 시험패스는 간단한 일이라는걸 알게 될것입니다. CISI UAE-Financial-Rules-and-Regulations덤프는 최근CISI UAE-Financial-Rules-and-Regulations시험의 기출문제모음으로 되어있기에 적중율이 높습니다.시험에서 떨어지면 덤프비용 전액 환불해드리기에 우려없이 덤프를 주문하셔도 됩니다.
| Section | Weight | Objectives |
|---|---|---|
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Markets | 11% | - General background - Disclosure and Transparency |
| Client Protection | 10% | |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Trading | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
>> UAE-Financial-Rules-and-Regulations시험패스 인증덤프공부 <<
ITDumpsKR에서 발췌한 CISI인증 UAE-Financial-Rules-and-Regulations덤프는 전문적인 IT인사들이 연구정리한 최신버전 CISI인증 UAE-Financial-Rules-and-Regulations시험에 대비한 공부자료입니다. CISI인증 UAE-Financial-Rules-and-Regulations 덤프에 있는 문제만 이해하고 공부하신다면CISI인증 UAE-Financial-Rules-and-Regulations시험을 한방에 패스하여 자격증을 쉽게 취득할수 있을것입니다.
질문 # 166
Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?
정답：B
설명：
According to CISI UAE Financial Rules and Regulations, when the client is a legal person, customer due diligence (CDD) requires verification of identity for any natural person holding a minimum controlling ownership interest of 25%. This threshold identifies beneficial owners who have significant influence or control over the legal entity. Verifying these individuals is critical for AML/CTF compliance to prevent misuse of corporate vehicles for illicit purposes. The 25% figure aligns with international standards such as FATF recommendations and ensures that regulatory scrutiny extends beyond the legal entity to its key controllers.
Reference: CISI UAE Financial Rules and Regulations - Client Due Diligence, Beneficial Ownership Verification, Section 8.1.4 (2023).
질문 # 167
Which of the following financial activities comes under the fifth category licence?
정답：D
설명：
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).
질문 # 168
When a firm applies to the Authority for a licence, an internal audit guide must be included setting out procedures which will ensure that:
정답：C
설명：
Every licence applicant must provide a guide regulating its internal audit processes. The CISI UAE Financial Rules and Regulations explains that the purpose of the guide is to allow the firm to assess the appropriateness and effectiveness of its internal rules, procedures and bylaws. A central requirement is that the internal auditor must be capable of acting independently , without interference, and the internal-audit role must not be combined improperly with another function. The guide must also establish suitable access to records, information and senior governance bodies and contain procedures for reporting matters that may affect the licensed body's financial position. Independence is fundamental because an internal auditor who is controlled by the operational areas being reviewed cannot provide effective assurance over compliance and internal controls. The regulations do not prescribe quarterly audits as the answer to this requirement, nor do they state that the auditor must be externally nominated. Option B does not represent a recognised internal-audit requirement in the CISI framework. Therefore, the required procedure is one ensuring the internal auditor's independence, making option C correct.
질문 # 169
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
정답：A
설명：
The DFM Professional Code of Conduct imposes a specific restriction on brokerage firms concerning market data and information about entities whose securities are listed on the exchange. A brokerage firm must not publish or promote market data or information concerning the status of a listed entity unless the information has first been verified and made public by the concerned entity . This prevents brokers from distributing unconfirmed, selective or prematurely disclosed information that might influence prices or create information asymmetry between investors. The rule complements broader DFM obligations requiring brokerage firms to act honestly and fairly and to avoid misleading conduct. The broker does not need a separate publication approval from the Authority for every item falling within this rule. Signing a conflict-of-interest disclaimer does not convert unpublished information into permissible market data, and assessing the information's potential impact is not the regulatory trigger allowing publication. The decisive condition is that the information has been verified and publicly disclosed by the entity concerned. Accordingly, option B is correct.
질문 # 170
An Authority resolution was passed by the Chairman alone. Why was this possible?
정답：B
설명：
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.
질문 # 171
......
IT인증자격증은 여느때보다 강렬한 경쟁율을 보이고 있습니다. CISI 인증UAE-Financial-Rules-and-Regulations시험을 통과하시면 취직 혹은 승진이나 연봉협상에 많은 도움이 되어드릴수 있습니다. CISI 인증UAE-Financial-Rules-and-Regulations시험이 어려워서 통과할 자신이 없다구요? ITDumpsKR덤프만 있으면 이런 고민은 이제 그만 하지않으셔도 됩니다. ITDumpsKR에서 출시한 CISI 인증UAE-Financial-Rules-and-Regulations덤프는 시장에서 가장 최신버전입니다.
UAE-Financial-Rules-and-Regulations최신버전덤프: https://www.itdumpskr.com/UAE-Financial-Rules-and-Regulations-exam.html
그 외, ITDumpsKR UAE-Financial-Rules-and-Regulations 시험 문제집 일부가 지금은 무료입니다: https://drive.google.com/open?id=1lPinNmgN8bxx7s0sGtR6H5NqDbuNUP3z