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[General] UAE-Financial-Rules-and-Regulations Practice Mock & Reliable UAE-Financial-R

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【General】 UAE-Financial-Rules-and-Regulations Practice Mock & Reliable UAE-Financial-R

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q41-Q46):NEW QUESTION # 41
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
  • A. identify potential money laundering
  • B. deal with succession planning
  • C. manage conflicts of interest
  • D. reduce the risk to investors
Answer: C
Explanation:
Sponsors of companies applying to become Special Purpose Acquisition Companies (SPACs) in the UAE must prepare detailed proposals that specifically address the management of conflicts of interest. This is mandated under CISI UAE Financial Rules and Regulations to ensure that the SPAC's activities remain transparent and investors' interests are protected. Conflicts of interest may arise from the sponsors' dual roles or relationships with target companies or investors. Addressing these conflicts proactively through proposals and policies supports integrity and market confidence. While risk reduction and anti-money laundering are critical, the regulations explicitly highlight conflict management as a core area for SPAC sponsors.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, SPAC Sponsorship Requirements, Section 6.3.4 (2023).

NEW QUESTION # 42
The contract size for an MSCI India Index Futures (INR) contract is:
  • A. 25 index points x price
  • B. 50 index points x price
  • C. 5 index points x price
  • D. 20 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 # 43
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
  • A. Deposit not less than 90% of the public subscription proceeds within one business day of receipt
  • B. Deposit not less than 100% of the public subscription proceeds within one business day of receipt
  • C. Deposit not less than 90% of the public subscription proceeds within two business days of receipt
  • D. Deposit not less than 100% of the public subscription proceeds within two business days of receipt
Answer: B
Explanation:
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection. This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference:CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).

NEW QUESTION # 44
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. A 30-day notice was not provided
  • B. The majority of the board was not present
  • C. An Authority penalty was pending
  • D. It failed to seek permission from the Authority
Answer: D
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 # 45
When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:
  • A. within a maximum of 48 hours
  • B. immediately
  • C. within a maximum of 72 hours
  • D. after 5 working days
Answer: C
Explanation:
CISI UAE Financial Rules and Regulations stipulate that for debt securities issued via public subscription, the offeror must announce any replacement of the trustee within a maximum of 72 hours. Prompt notification ensures transparency, allowing investors to be informed about key custodial and fiduciary changes that may affect the security's management and enforcement of rights. Delays beyond this period could impact investor confidence and violate continuous disclosure requirements, thus the 72-hour timeframe strikes a balance between operational feasibility and timely communication.
Reference: CISI UAE Financial Rules and Regulations - Debt Securities Public Offers and Trustee Notifications, Section 5.8.6 (2023).

NEW QUESTION # 46
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