참고: Fast2test에서 Google Drive로 공유하는 무료 2026 CISI UAE-Financial-Rules-and-Regulations 시험 문제집이 있습니다: https://drive.google.com/open?id=1k5Eqo0lYHMoNKZoOiR2t2EtCbFdxhMW_
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| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
>> UAE-Financial-Rules-and-Regulations인증공부문제 <<
CISI인증 UAE-Financial-Rules-and-Regulations시험은 인기있는 IT자격증을 취득하는데 필요한 국제적으로 인정받는 시험과목입니다. CISI인증 UAE-Financial-Rules-and-Regulations시험을 패스하려면 Fast2test의CISI인증 UAE-Financial-Rules-and-Regulations덤프로 시험준비공부를 하는게 제일 좋은 방법입니다. Fast2test덤프는 IT전문가들이 최선을 다해 연구해낸 멋진 작품입니다. CISI인증 UAE-Financial-Rules-and-Regulations덤프구매후 업데이트될시 업데이트버전을 무료서비스료 제공해드립니다.
질문 # 95
Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
정답：B
설명：
Final approval of a local investment fund depends upon completion of prescribed post-subscription procedures. According to the CISI UAE Financial Rules and Regulations, the fund manager-and, in the case of a self-managed fund, its founders-must submit specified documentation to the Authority within no more than 30 days from the date on which subscriptions close . One of the principal documents is a certificate from the local fund's auditor confirming that subscription to the fund's capital has been completed. For a family fund, additional evidence may also be required to establish that subscribers satisfy the relevant family and beneficial-ownership requirements. Failure to submit the required documents within the prescribed period can cause the establishment procedures to be treated as non-existent and require subscribed amounts to be returned. Once the required auditor's certificate and supporting documentation have been properly submitted, the Authority proceeds with the establishment and licensing process. The relevant deadline is therefore 30 days, not five, ten or fifteen days. Accordingly, option D is correct.
질문 # 96
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
정답：A
설명：
According to CISI UAE Financial Rules and Regulations, if a client holds a debit balance with a brokerage firm on the Dubai Financial Market (DFM), the firm is prevented from accepting new orders from that client until the debit balance is cleared. This measure protects both the brokerage firm and market integrity by ensuring that clients do not accumulate unpaid debts from trading activities, thereby reducing credit risk. The restriction applies specifically to new orders; other services such as providing advice or selling securities may continue under certain conditions.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Debit Balance Controls, Section 4.4.12 (2023).
질문 # 97
When promoting private funds, related materials must:
정답：C
설명：
Promotional materials for private funds in the UAE must clearly clarify the fund's specific nature and include the required disclaimer as prescribed by the Authority. This requirement ensures that potential investors receive accurate and compliant information about the private fund's characteristics, risks, and restrictions. The disclaimer serves to limit investor expectations and legal liabilities. While certain media restrictions and content approvals may apply in some jurisdictions, the key regulatory focus is on transparency and proper disclosure within promotional materials to protect investor interests.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Promotion and Disclosure Requirements, Section 6.3.9 (2023).
질문 # 98
An Insiders Register should be prepared for securities issued by:
정답：B
설명：
The Corporate Governance provisions covered by the CISI UAE Financial Rules and Regulations require listed companies to establish controls over transactions undertaken by Board members, employees and other persons who may possess unpublished inside information. The company's Board must issue written rules governing transactions by these insiders in securities issued by the company itself, its parent company, subsidiaries and related companies . A special and comprehensive Insiders Register must then be maintained, including permanent and temporary insiders who have access to internal information before publication. The organisation responsible for the register must monitor insiders' transactions, maintain their disclosures, provide updated insider lists to the SCA and market, and submit the register to the Authority when requested. Limiting the regime to securities issued solely by the company would leave material connected-company dealings outside the monitoring framework. Similarly, options B and C improperly omit either subsidiaries or related companies. The CISI text expressly covers all four categories, making option D the complete and correct answer.
질문 # 99
If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?
정답：C
설명：
The UAE rules governing listed debt securities give the Authority power to suspend trading and, in prescribed circumstances, cancel a listing entirely. The CISI UAE Financial Rules and Regulations states that the Authority may cancel the listing of debt securities where a decision has been made to dissolve or wind up the issuer, where the suspension of the listing continues for more than six months, or where the relevant debt securities have been completely redeemed. Once a listing is cancelled or suspended, trading in the affected debt securities is prohibited. The rules also make clear that neither the Authority nor the market is responsible for compensating persons suffering losses as a consequence of the suspension or cancellation. Although regulatory intervention may involve additional disclosures or remedial action in other circumstances, the specific consequence expressly available when a debt-security listing has remained suspended for more than six months is cancellation of that listing. There is no corresponding requirement in this provision for an at-risk register, automatic fine, or immediate recovery plan. Therefore, option D is correct.
질문 # 100
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