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[General] 100% Pass CISI - Updated UAE-Financial-Rules-and-Regulations Exam Details

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【General】 100% Pass CISI - Updated UAE-Financial-Rules-and-Regulations Exam Details

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q55-Q60):NEW QUESTION # 55
The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:
  • A. within 24 hours of accepting the client
  • B. on receipt of a complaint
  • C. within 48 hours of accepting the client
  • D. on request
Answer: D
Explanation:
Under the CISI UAE Financial Rules and Regulations, firms applying for a financial activities licence are required to have formal policies addressing client protection, including clear complaints handling procedures.
Such firms must make these proceduresavailable to clients on request, ensuring transparency and accessibility without imposing undue burden on clients or firms. The regulatory framework does not mandate automatic distribution within fixed timeframes upon client acceptance or complaint receipt but emphasizes accessibility and prompt responsiveness when clients seek the information. This approach balances operational feasibility and client rights to be informed about how their complaints will be managed. Providing the procedure upon request also fosters a trust-based relationship and helps resolve disputes effectively.
Reference:CISI UAE Financial Rules and Regulations - Client Protection and Complaints Handling, Section 4.2.7 (2023).

NEW QUESTION # 56
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. Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
  • C. Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
  • D. The Chair and Board of Directors should notify the Authority and tender their resignations
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 # 57
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
  • A. Impose a financial fine of not less than AED 100,000
  • B. Suspend any financial activity practised during an investigation
  • C. Impose a financial fine of not more than AED 100,000
  • D. Suspend the licensed body for a period of two years
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations empower the Authority to impose financial fines of not less than AED 100,000 on licensed entities or persons found in violation of regulatory provisions. This minimum fine serves as a deterrent and underscores the regulator's authority to enforce compliance. While suspension of licensed bodies or activities can be imposed in some cases, the standard and frequently applied sanction is the financial penalty starting from AED 100,000. The Authority's sanctions framework ensures robust regulatory oversight and promotes adherence to UAE financial laws.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Sanctions and Penalties, Section 2.6.4 (2023).

NEW QUESTION # 58
In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?
  • A. An emergency has been notified to the Authority
  • B. A court case against the licensed body is in progress
  • C. A takeover bid for the licensed body has been launched
  • D. A significant market correction is taking place
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations allow the waiver of the requirement for licensed bodies to disclose their legal status only in specific scenarios such as when an emergency has been notified to the Authority. This provision recognizes that during certain urgent situations, standard disclosure obligations may be temporarily suspended to allow for swift action or confidentiality. Other circumstances such as ongoing court cases, market corrections, or takeover bids do not automatically justify waivers of disclosure obligations, preserving investor transparency and trust under normal conditions.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Disclosure Obligations and Waivers, Section 4.1.10 (2023).

NEW QUESTION # 59
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
  • A. the broker
  • B. the market committee
  • C. the clearing member
  • D. the investor
Answer: D
Explanation:
On the Dubai Financial Market (DFM), a good-till-cancelled (GTC) order remains active and available for execution until explicitly cancelled by the investor who placed it. This means the investor maintains control over the order's lifespan, allowing it to persist through trading sessions unless they choose to withdraw it.
Brokers or clearing members do not have authority to unilaterally cancel GTC orders, ensuring investor autonomy. The market committee also does not intervene in the cancellation of individual orders under normal circumstances. This design supports investor flexibility and orderly market functioning.
Reference: CISI UAE Financial Rules and Regulations - Trading Rules and Order Management, Section
7.3.2 (2023).

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