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[Hardware] Helpful Features of UAE-Financial-Rules-and-Regulations PDF Questions

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【Hardware】 Helpful Features of UAE-Financial-Rules-and-Regulations PDF Questions

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q28-Q33):NEW QUESTION # 28
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
  • A. 10 working days
  • B. 30 working days
  • C. 5 working days
  • D. 20 working days
Answer: D
Explanation:
According to the CISI UAE Financial Rules and Regulations, the process for establishing a local investment fund, including a public fund, involves obtaining approval from the relevant regulatory authority, which is usually the Securities and Commodities Authority (SCA). For public funds, the authority is required to either grant or reject the application within 20 working days from the submission date. This time frame ensures that there is adequate time for the Authority to review the application, conduct necessary evaluations, and ensure that the fund complies with all regulatory and legal requirements. The 20-working-day period ensures efficiency while allowing for a thorough review.
Reference: CISI UAE Financial Rules and Regulations - Investment Fund Establishment Process, Section
6.2.1 (2023).

NEW QUESTION # 29
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
  • A. manage conflicts of interest
  • B. reduce the risk to investors
  • C. deal with succession planning
  • D. identify potential money laundering
Answer: A
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 # 30
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
  • A. paying any cash to the client
  • B. accepting new orders from the client
  • C. providing investment advice to the client
  • D. selling securities on the client's behalf
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, if a client holds a debit balance with a brokerage firm on the Dubai Financial Market (DFM), the firm is prevented from accepting new orders from that client until the debit balance is cleared. This measure protects both the brokerage firm and market integrity by ensuring that clients do not accumulate unpaid debts from trading activities, thereby reducing credit risk. The restriction applies specifically to new orders; other services such as providing advice or selling securities may continue under certain conditions.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Debit Balance Controls, Section 4.4.12 (2023).

NEW QUESTION # 31
Why would a transaction to purchase securities be declared null and void?
  • A. It was the result of a rumour being spread
  • B. The investor has a conviction of an offence of dishonour
  • C. The individual is a former employee
  • D. The Authority has levied a penalty for delay of payment
Answer: A
Explanation:
A transaction to purchase securities could be declared null and void if it was the result of a rumour being spread. According to the CISI UAE Financial Rules and Regulations, transactions based on market manipulation, misinformation, or rumors that mislead investors and distort the market are considered invalid.
The integrity of the financial markets depends on transparency and the accuracy of the information that drives trading decisions. Therefore, if a transaction is found to have been influenced by rumors, it could be declared void to maintain fairness and prevent manipulative practices.
Reference: CISI UAE Financial Rules and Regulations - Market Manipulation and Invalid Transactions, Section 6.3.2 (2023).

NEW QUESTION # 32
Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?
  • A. Routinely on a monthly basis
  • B. Only if a complaint is made
  • C. Routinely on a quarterly basis
  • D. Only if requested by them to do so
Answer: D
Explanation:
Licensed entities in the UAE financial sector, under the supervision of the Securities and Commodities Authority (SCA), are required to maintain and provide documents related to client interactions and suitability assessments when requested by the Authority. According to the CISI UAE Financial Rules and Regulations, appropriateness reports-used to assess whether certain financial products or services are suitable for clients- are not routinely submitted on a monthly or quarterly basis unless specifically demanded. Instead, the responsibility lies with the licensed entity to retain these reports and submit copies only upon explicit request by the Authority or in case of regulatory investigations. This ensures a balanced approach between regulatory oversight and operational efficiency. The rationale is to allow the Authority to conduct targeted reviews while minimizing administrative burdens on firms, thus enabling a focused compliance regime that protects client interests without unnecessary procedural overload. This is aligned with the regulatory framework designed to ensure transparency, investor protection, and market integrity in the UAE.
Reference:CISI UAE Financial Rules and Regulations Study Guide, Section on Client Protection - Obligations of Licensed Entities Regarding Appropriateness Reports, SCA Compliance Guidelines 2023.

NEW QUESTION # 33
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