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[General] Free UAE-Financial-Rules-and-Regulations Braindumps - UAE-Financial-Rules-and-Re

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【General】 Free UAE-Financial-Rules-and-Regulations Braindumps - UAE-Financial-Rules-and-Re

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q93-Q98):NEW QUESTION # 93
An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?
  • A. An operational risk matrix
  • B. A stress testing exercise
  • C. Comparison with the same sector
  • D. SWOT analysis
Answer: D
Explanation:
CISI UAE Financial Rules and Regulations require that feasibility studies and work plans submitted by licence applicants be evaluated using a SWOT analysis (Strengths, Weaknesses, Opportunities, and Threats).
This comprehensive method assesses the internal and external factors affecting the viability and strategic positioning of the applicant's business plan. The SWOT analysis helps regulators understand the applicant's operational readiness, competitive environment, risk exposures, and growth potential, ensuring robust due diligence before licensing. Other methods such as operational risk matrices or stress testing may be used in broader risk assessments but are not the primary evaluation tool for feasibility studies.
Reference: CISI UAE Financial Rules and Regulations - Licensing Procedures and Evaluation, Section 3.6.2 (2023).

NEW QUESTION # 94
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
  • A. The highest one
  • B. The one produced by the most experienced evaluator
  • C. The lowest one
  • D. The average of the two amounts
Answer: D
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 # 95
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?
  • A. It failed to seek permission from the Authority
  • B. A 30-day notice was not provided
  • C. An Authority penalty was pending
  • D. The majority of the board was not present
Answer: A
Explanation:
When the Board of a securities market wishes to suspend a rule related to the market's operations, it must first obtain permission from the regulatory Authority. According to the CISI UAE Financial Rules and Regulations, if permission is not sought from the Authority before attempting to suspend the rule, the suspension request will not be valid. This requirement ensures that the Authority has oversight over the market's operational changes and can assess whether suspending the rule aligns with regulatory goals such as market stability, fairness, and transparency. This helps prevent arbitrary or inconsistent rule changes that might undermine investor confidence or disrupt the smooth functioning of the market.
Reference: CISI UAE Financial Rules and Regulations - Market Rule Suspension Procedures, Section 2.4.7 (2023).

NEW QUESTION # 96
If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?
  • A. Close the client's account by close of business on the same day
  • B. Immediately suspend operations with the third party
  • C. Investigate and correct it as soon as possible
  • D. Immediately inform the regulator verbally and follow this up in writing
Answer: C
Explanation:
If a discrepancy is identified during an external reconciliation process, the firm is required to investigate and correct it as soon as possible. The CISI UAE Financial Rules and Regulations emphasize that discrepancies, whether in financial data or operational procedures, must be thoroughly examined to determine the root cause and rectified promptly. Immediate corrective action helps to ensure that financial statements and other reports remain accurate and reliable, preventing any further errors or compliance issues. While it may be necessary to inform the regulator or suspend operations in extreme cases, the first priority is to address the discrepancy through investigation and correction.
Reference: CISI UAE Financial Rules and Regulations - Reconciliation and Error Resolution, Section 8.1.4 (2023).

NEW QUESTION # 97
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
  • A. 51%
  • B. 100%
  • C. 90%
  • D. 75%
Answer: C
Explanation:
CISI UAE Financial Rules and Regulations specify that when a local investment fund is established by an entity licensed for family investment management, at least 90% of the fund units must be owned by family members. This high ownership threshold ensures that the fund serves its intended purpose as a family investment vehicle, restricting external investor participation. The rule protects the fund's family-oriented investment strategy, governance, and compliance with related regulatory provisions. It also aligns with the regulatory framework promoting transparency and proper segmentation of family investment funds in the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Family Investment Management Funds, Ownership Requirements, Section 6.6.5 (2023).

NEW QUESTION # 98
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