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[General] Exam UAE-Financial-Rules-and-Regulations Topics, UAE-Financial-Rules-and-Regulat

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【General】 Exam UAE-Financial-Rules-and-Regulations Topics, UAE-Financial-Rules-and-Regulat

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q76-Q81):NEW QUESTION # 76
If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?
  • A. Five
  • B. Four
  • C. Two
  • D. Three
Answer: D
Explanation:
For a company wishing to offer shares after converting into a public joint-stock company, it must have released audited financial statements for a minimum of three fiscal years prior to the request to offer shares.
This requirement ensures that the company has a solid track record of financial performance and transparency, which is essential for potential investors to evaluate the company's viability and financial health. The three- year period provides enough historical data to assess trends and make informed investment decisions, supporting market integrity and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Requirements for Public Offerings, Section 4.2.3 (2023).

NEW QUESTION # 77
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
  • A. reduce the risk to investors
  • B. identify potential money laundering
  • C. manage conflicts of interest
  • D. deal with succession planning
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 # 78
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. It failed to seek permission from the Authority
  • B. The majority of the board was not present
  • C. A 30-day notice was not provided
  • D. An Authority penalty was pending
Answer: A
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 # 79
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
  • A. prices being allowed to fluctuate during the opening offer period
  • B. subscriptions being taken at different threshold levels
  • C. subscriptions being taken at excessive levels from non-qualified investors
  • D. prices being determined at the discretion of the issuer
Answer: C
Explanation:
Under Federal Law No. 20 of 2018 and related CISI UAE Financial Rules and Regulations, issuers arranging crypto asset offerings must establish controls to prevent subscriptions being taken at excessive levels from non-qualified investors. This is a key investor protection and anti-money laundering measure designed to restrict high-risk investment exposure to those with adequate knowledge, resources, and risk appetite. By enforcing subscription limits for non-qualified investors, the regulations mitigate fraud, market manipulation, and financial losses while ensuring regulatory compliance. Controls over pricing discretion or fluctuations, while relevant, are not the central regulatory concern in this context.
Reference: CISI UAE Financial Rules and Regulations - AML and Crypto Asset Issuance Controls, Section
8.2.4 (2023).

NEW QUESTION # 80
Each licence applicant must submit a risk management guide that includes:
  • A. the mechanisms required to enable the compliance officer to have access to sufficient resources
  • B. the procedures and mechanisms required to enable the internal auditor to act independently
  • C. development and implementation of policies and procedures
  • D. the procedures and mechanisms that ensure that the responsible officer shall have access to all records
Answer: C
Explanation:
In the UAE regulatory framework, every licence applicant is mandated to provide a comprehensive risk management guide. As per CISI UAE Financial Rules and Regulations, this guide must explicitly address the development and implementation of policies and procedures to identify, assess, monitor, and mitigate risks within the licensed entity. This requirement ensures that firms proactively manage financial, operational, and compliance risks, safeguarding market integrity and client interests. While other governance and compliance mechanisms such as compliance officer resources and internal auditor independence are important, the risk management guide specifically focuses on how the firm establishes and enforces risk-related policies and procedures. This foundational element of risk governance demonstrates the applicant's readiness and capability to operate safely within the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, Risk Management Requirements, Section 3.2.7 (2023).

NEW QUESTION # 81
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