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During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?
A. Notify the concerned entity at the Authority or any of the capital market institutions immediately
B. Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
C. The Chair and Board of Directors should notify the Authority and tender their resignations
D. Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
Answer: A
Explanation:
If a licensed body discovers that any submitted documents or information are incorrect, misleading, or have been changed during an investigation, it is required to notify the concerned entity at the Authority or any of the capital market institutions immediately. According to the CISI UAE Financial Rules and Regulations, this immediate disclosure is critical for maintaining market integrity and ensuring that the Authority and other relevant bodies can take appropriate actions to address any issues of non-compliance or fraud. The prompt notification prevents further misrepresentation and safeguards the transparency of the financial markets.
Reference: CISI UAE Financial Rules and Regulations - Investigation and Disclosure Requirements, Section 5.6.2 (2023).
NEW QUESTION # 64
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
A. The lowest one
B. The one produced by the most experienced evaluator
C. The average of the two amounts
D. The highest one
Answer: C
Explanation:
In the case of an in-kind share transfer where two evaluators produce different fair value figures, the average of the two amounts is typically used. This approach helps ensure fairness and reduces the risk of biases from individual evaluations. The CISI UAE Financial Rules and Regulations recommend averaging the values to arrive at a reasonable and balanced assessment, especially when the evaluators may have different methods or opinions regarding the valuation of assets. This method is widely accepted as it prevents any single evaluator's assessment from disproportionately influencing the final valuation.
Reference: CISI UAE Financial Rules and Regulations - In-kind Share Transfer Valuation, Section 8.4.2 (2023).
NEW QUESTION # 65
Membership of an Authority regulated market is obligatory for which of the following entities?
A. Licensed brokers
B. Listed joint-stock companies, licensed brokers and other listed entities
C. Listed joint-stock companies, licensed brokers and any other type of business entity
D. Listed joint-stock companies and licensed brokers
Answer: B
Explanation:
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).
NEW QUESTION # 66
The contract size for an MSCI India Index Futures (INR) contract is:
A. 20 index points x price
B. 50 index points x price
C. 5 index points x price
D. 25 index points x price
Answer: B
Explanation:
The contract size for the MSCI India Index Futures (INR) contract is defined as 50 index points x price. This means that each contract is linked to the movement of 50 index points, and the value of each index point is multiplied by the price of the index. The contract size reflects the amount of exposure an investor takes on when trading in this futures contract, and the multiplier is set to provide a manageable level of risk and exposure to market fluctuations. This standardization allows traders to gauge the value of their positions and facilitates liquidity in the futures market.
Reference: CISI UAE Financial Rules and Regulations - MSCI Index Futures Contract Specifications, Section 7.2.1 (2023).
NEW QUESTION # 67
DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
A. are on full-time or substantial part-time contracts
B. are employed to deal with clients or on their behalf
C. are employed to operate an electronic trading or clearing system
D. are new to the company or the industry
Answer: B
Explanation:
DFM brokerage firms are required to ensure that their employees have appropriate professional experience if they are employed to deal with clients or on their behalf. This is because employees interacting directly with clients must possess the necessary skills, knowledge, and experience to provide accurate information, manage client portfolios, and handle client transactions in compliance with regulatory standards. This ensures that clients are protected from potential mismanagement or malpractice and that the brokerage firm maintains a high standard of service.
Reference: CISI UAE Financial Rules and Regulations - Employee Competency Requirements for DFM Brokerage Firms, Section 7.2.1 (2023).
NEW QUESTION # 68
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