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[General] Fresh CISI UAE-Financial-Rules-and-Regulations Dumps & Valid Test UAE-Financ

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【General】 Fresh CISI UAE-Financial-Rules-and-Regulations Dumps & Valid Test UAE-Financ

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q80-Q85):NEW QUESTION # 80
In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?
  • A. A takeover bid for the licensed body has been launched
  • B. A significant market correction is taking place
  • C. A court case against the licensed body is in progress
  • D. An emergency has been notified to the Authority
Answer: D
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 # 81
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
  • A. 50%
  • B. 80%
  • C. 70%
  • D. 60%
Answer: C
Explanation:
According to CISI UAE Financial Rules and Regulations, brokerage companies must use 70% of the market value of securities they own to increase the value of their guarantee. This guarantee acts as a financial safeguard to ensure the firm's stability and protect clients and counterparties against default risk. The 70% proportion strikes a balance between maximizing the leverage of owned securities and maintaining prudent risk management. It reflects the regulatory emphasis on requiring sufficient collateral and guarantees to support brokerage operations, maintaining market confidence and financial soundness within the UAE capital markets.
Reference: CISI UAE Financial Rules and Regulations - Brokerage Firms Guarantees, Section 3.3.9 (2023).

NEW QUESTION # 82
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
  • A. has been designated a company of State importance
  • B. is formally classed as an insurance company
  • C. was incorporated in the last three years
  • D. issued shares in a public offer in the last six months
Answer: D
Explanation:
According to CISI UAE Financial Rules and Regulations, a public joint-stock company is automatically barred from executing a buyback transaction if it issued shares in a public offer in the last six months. This regulatory restriction is designed to prevent market manipulation and protect shareholders' interests by ensuring sufficient market stability following a new share issuance. Buybacks shortly after public offerings could distort share prices or unfairly affect market liquidity. Other conditions like being an insurance company or state-designated firm do not automatically preclude buybacks under these regulations. This rule aligns with international corporate governance best practices governing share repurchases.
Reference: CISI UAE Financial Rules and Regulations - Share Buyback Rules, Section 5.4.7 (2023).

NEW QUESTION # 83
The statement in a suitability report giving reasons for the recommendation must also indicate:
  • A. the client's ability to bear any risks and losses
  • B. whether or not the client has accepted this guidance
  • C. why the next best product or service was disregarded
  • D. the extent to which the author is qualified to make this judgement
Answer: A
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 # 84
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 stays on the trading system, 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 is cancelled and a new order is placed, at the last executed price
Answer: B
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 # 85
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