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[General] Latest UAE-Financial-Rules-and-Regulations Test Cost, Dumps UAE-Financial-Rules-

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【General】 Latest UAE-Financial-Rules-and-Regulations Test Cost, Dumps UAE-Financial-Rules-

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q27-Q32):NEW QUESTION # 27
To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?
  • A. 2.0%
  • B. 0.5%
  • C. 2.5%
  • D. 1.0%
Answer: D
Explanation:
A big block deal on the ADX's E-Trading system must involve securities that are at least 1.0% of the issuer's capital. This threshold ensures that large transactions, which could significantly affect the stock's market price, are categorized appropriately as big block deals. The rule helps to distinguish between regular trades and larger institutional trades, which often have different liquidity and market impact considerations. This also provides transparency for market participants regarding the size and nature of the transaction.
Reference: CISI UAE Financial Rules and Regulations - Big Block Deal Requirements on ADX, Section
6.1.2 (2023).

NEW QUESTION # 28
If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
  • A. It is moved from a first category listing to a second category of listing
  • B. Its shares are suspended for at least six months
  • C. It is required to be audited more frequently
  • D. It is moved from a second category listing to a first category of listing
Answer: A
Explanation:
If a listed company faces accumulated losses of 50% or more of its capital, the company is required to be moved from a first category listing to a second category of listing. This measure is designed to protect investors by ensuring that only financially stable companies remain in the primary listing category, which is subject to stricter regulatory oversight and higher investor expectations. The second category listing provides a lower level of visibility, which reflects the increased financial risks associated with such companies. This helps mitigate the potential impact on other market participants.
Reference: CISI UAE Financial Rules and Regulations - Listing Categories and Financial Health, Section
2.5.1 (2023).

NEW QUESTION # 29
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. Impose a financial fine of not more than AED 100,000
  • C. Suspend the licensed body for a period of two years
  • D. Suspend any financial activity practised during an investigation
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 # 30
Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?
  • A. Examine the latest Interpol watch list
  • B. Attempt to establish the source of the funds
  • C. Seek Authority approval to proceed
  • D. Conduct a prescribed risk / benefit analysis
Answer: B
Explanation:
For foreign politically exposed persons (PEPs), CISI UAE Financial Rules and Regulations require that firms undertake rigorous customer due diligence, including attempting to establish the source of funds. Establishing the legitimacy and origin of funds is crucial to prevent illicit money laundering and terrorism financing. While risk/benefit analyses and regulatory approvals are important, the direct verification of fund sources is a primary control measure against financial crimes involving PEPs. Checking watchlists like Interpol's is supplementary but not sufficient alone. This requirement safeguards the financial system and aligns with Federal Law No. 20 of 2018's anti-money laundering mandates.
Reference: CISI UAE Financial Rules and Regulations - AML Controls and PEP Risk Management, Section
8.2.9 (2023).

NEW QUESTION # 31
The statement in a suitability report giving reasons for the recommendation must also indicate:
  • A. why the next best product or service was disregarded
  • B. the extent to which the author is qualified to make this judgement
  • C. the client's ability to bear any risks and losses
  • D. whether or not the client has accepted this guidance
Answer: C
Explanation:
In CISI UAE Financial Rules and Regulations, suitability reports must include a clear statement addressing the client's ability to bear any risks and losses associated with the recommended financial product or service.
This disclosure ensures that recommendations are made with a full understanding of the client's financial capacity and risk tolerance, protecting clients from unsuitable advice. While explanations about alternative products, client acceptance, and author qualifications are relevant, the ability to bear risk is essential to justify the recommendation and meet regulatory standards for investor protection.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Suitability Reporting, Section
4.3.11 (2023).

NEW QUESTION # 32
......
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