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【General】 Exam UAE-Financial-Rules-and-Regulations Forum, Reliable UAE-Financial-Rules-and

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q96-Q101):NEW QUESTION # 96
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
  • A. All private companies which have declared losses in the last 12 months
  • B. Companies in the first category
  • C. All public companies which have declared losses in the last 12 months
  • D. Companies in the second category
Answer: C
Explanation:
Per CISI UAE Financial Rules and Regulations, the watch list monitored by the Authority's committee consists of all public companies that have declared losses in the last 12 months. These companies are subject to closer regulatory scrutiny to protect investors and maintain market stability. Monitoring focuses on financial health indicators that might signal increased risk, ensuring timely intervention if necessary. Private companies are generally not included in this watch list, which targets publicly traded entities with broader investor impact.
Reference: CISI UAE Financial Rules and Regulations - Market Surveillance and Watch List, Section 5.6.4 (2023).

NEW QUESTION # 97
If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?
  • A. It is doubled
  • B. It is tripled
  • C. It is quadrupled
  • D. It is increased by 50%
Answer: A
Explanation:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, if a person convicted of a money laundering offence is a repeat offender, the minimum fine imposed is doubled compared to the first offence. This increased penalty reflects the heightened regulatory and punitive response to repeated non- compliance, emphasizing deterrence and the protection of the financial system. Repeat offenders face more severe consequences to underscore the seriousness of continued illegal activity and to promote adherence to AML laws.
Reference: CISI UAE Financial Rules and Regulations - AML Penalties and Repeat Offences, Section 8.4.6 (2023).

NEW QUESTION # 98
When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?
  • A. Financial Action Task Force
  • B. United Nations Office on Drugs and Crime
  • C. World Bank
  • D. Bank for International Settlements
Answer: A
Explanation:
Under the UAE's Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) framework, firms, including those involved in crypto assets, are required to align their compliance practices with international standards. The Financial Action Task Force (FATF) provides the global framework and recommendations to combat money laundering and terrorism financing. Firms must adhere to these recommendations to update and maintain their AML compliance programs effectively, ensuring that they remain in line with the best global practices and avoid involvement in illicit activities. The FATF's guidelines specifically address the risks posed by crypto assets and set standards for monitoring, reporting, and controlling potential misuse of such assets for money laundering purposes.
Reference: CISI UAE Financial Rules and Regulations - Anti-Money Laundering Framework and Crypto Assets, Section 9.2.4 (2023).

NEW QUESTION # 99
During a trading session, if an order is not fully executed, then:
  • A. the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
  • B. the order will be dealt with at the next trading session
  • C. the transaction is executed at the price set on the other side of the transaction
  • D. the remaining unexecuted volume stays on the trading system, at the last executed price
Answer: D
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 # 100
A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?
  • A. Commercial papers and deposit certificates only
  • B. Medium-term bonds, commercial papers and deposit certificates
  • C. Medium-term bonds and commercial papers only
  • D. Deposit certificates and medium-term bonds only
Answer: A
Explanation:
CISI UAE Financial Rules and Regulations define that cash investment funds may hold commercial papers and deposit certificates only. Medium-term bonds are typically excluded from cash funds as they have longer maturities and more interest rate risk, which conflicts with the liquidity and capital preservation objectives of cash funds. Commercial papers and deposit certificates, with their shorter maturities and high liquidity, are appropriate instruments for cash funds, providing stable, low-risk returns in line with regulatory requirements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Asset Eligibility, Section 6.4.3 (2023).

NEW QUESTION # 101
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