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[General] UAE-Financial-Rules-and-Regulations - CISI UAE Financial Rules and Regulations E

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【General】 UAE-Financial-Rules-and-Regulations - CISI UAE Financial Rules and Regulations E

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q68-Q73):NEW QUESTION # 68
The last trading day for an India Gold Quanto Futures contract is:
  • A. one business day prior to the last business day of the delivery month
  • B. the 25th calendar day of the delivery month
  • C. four business days prior to the 25th calendar day of the delivery month
  • D. two business days prior to the last business day of the delivery month
Answer: D
Explanation:
For India Gold Quanto Futures contracts, the last trading day is defined as two business days prior to the last business day of the delivery month. This rule ensures that there is adequate time for the settlement and adjustment of any open positions before the final day of trading. The two-day buffer also allows for the reconciliation of positions, making the futures market more efficient and reducing the likelihood of disputes regarding settlement. This is in line with global standards for futures contracts where the settlement and final trading days are clearly defined to protect market integrity and investor interests.
Reference: CISI UAE Financial Rules and Regulations - Futures Contract Trading, Section 8.2.4 (2023).

NEW QUESTION # 69
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
  • A. governance regulation
  • B. technical system
  • C. administration regulation
  • D. employee regulation
Answer: A
Explanation:
Behaviour regulations submitted by license applicants, such as a professional code of ethics, are classified undergovernance regulationswithin the CISI UAE Financial Rules and Regulations framework. Governance regulations encompass policies, standards, and codes that guide the ethical conduct, integrity, and responsibilities of licensed entities and their employees. They are designed to promote accountability, compliance, and good corporate citizenship within the financial industry. Unlike technical systems, which relate to operational infrastructure, or employee regulations focused on HR and workplace rules, governance regulations provide the overarching ethical and procedural guidelines essential for sustaining market confidence and protecting stakeholders. The inclusion of a professional code of ethics ensures license applicants demonstrate commitment to the principles of fairness, transparency, and fiduciary duty, which are fundamental requirements by the Securities and Commodities Authority (SCA) for licensing approval.
Reference:CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Governance, Section
3.1.4 (2023).

NEW QUESTION # 70
In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?
  • A. Operations Manager
  • B. Compliance Officer
  • C. Broker Representative
  • D. Trading Manager
Answer: C
Explanation:
The Authority expects licensed firms authorised to deal in investments to include a Broker Representative within their professional staff. The Broker Representative is the role licensed and trained to execute investment transactions on behalf of clients, adhering to regulatory standards. While other roles like Trading Manager, Compliance Officer, and Operations Manager are vital for the firm's overall functioning and compliance, the Broker Representative is specifically required for dealing activities, ensuring qualified and responsible conduct in investment execution.
Reference: CISI UAE Financial Rules and Regulations - Licensing and Job Roles for Investment Dealing, Section 3.1.9 (2023).

NEW QUESTION # 71
During a trading session, if an order is not fully executed, then:
  • A. the order will be dealt with at the next trading session
  • B. the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
  • C. the transaction is executed at the price set on the other side of the transaction
  • D. the remaining unexecuted volume stays on the trading system, at the last executed price
Answer: D
Explanation:
In the Dubai Financial Market (DFM) and other UAE exchanges, if an order is not fully executed during a trading session, the remaining unexecuted volume remains on the trading system at the last executed price, subject to the order's validity instructions (e.g., good-till-cancelled). This approach allows the unfilled portion to remain active in the market for potential matching with future opposing orders, supporting liquidity and order continuity. Orders are not automatically cancelled or deferred to the next session unless specified. This process ensures transparency and orderly execution consistent with regulatory trading rules.
Reference: CISI UAE Financial Rules and Regulations - Trading Order Execution Rules, Section 7.2.8 (2023).

NEW QUESTION # 72
The Corporate Governance Guide automatically allows board members of public joint-stock companies to accept gifts up to what maximum stated value?
  • A. AED 500
  • B. AED 300
  • C. AED 100
  • D. AED 200
Answer: B
Explanation:
According to the Corporate Governance Guide for public joint-stock companies, board members are automatically allowed to accept gifts up to a maximum value of AED 300. This limit is set to ensure that the acceptance of gifts does not raise concerns about conflicts of interest or unethical conduct. By establishing a cap on the value of acceptable gifts, the guide aims to promote transparency and prevent any undue influence on the decision-making process of board members. This helps maintain the integrity of the corporate governance framework and fosters trust among stakeholders.
Reference: CISI UAE Financial Rules and Regulations - Corporate Governance and Gift Acceptance, Section 10.4.5 (2023).

NEW QUESTION # 73
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