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[General] More Details About CISI UAE-Financial-Rules-and-Regulations Exam Dumps

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【General】 More Details About CISI UAE-Financial-Rules-and-Regulations Exam Dumps

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q44-Q49):NEW QUESTION # 44
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 90% of the public subscription proceeds within two business days of receipt
  • C. Deposit not less than 100% of the public subscription proceeds within one business day of receipt
  • D. Deposit not less than 100% of the public subscription proceeds within two business days of receipt
Answer: C
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 # 45
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
  • A. accepting new orders from the client
  • B. paying any cash to the client
  • C. providing investment advice to the client
  • D. selling securities on the client's behalf
Answer: A
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 # 46
The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?
  • A. 3%
  • B. 15%
  • C. 5%
  • D. 10%
Answer: C
Explanation:
The Depository Centre is required to periodically report to the Authority on shareholders who hold more than
5% of equity in the Centre's capital. This threshold ensures that the Authority is informed about substantial holdings, which could influence corporate governance, voting rights, and overall control within the company.
The report helps maintain transparency regarding ownership structures, which is critical for monitoring potential conflicts of interest, shareholder influence, and market stability. Regular updates on these holdings contribute to the regulatory oversight of significant shareholders.
Reference: CISI UAE Financial Rules and Regulations - Reporting Requirements for Depository Centres, Section 7.1.2 (2023).

NEW QUESTION # 47
During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?
  • A. Notify the concerned entity at the Authority or any of the capital market institutions immediately
  • B. Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
  • C. The Chair and Board of Directors should notify the Authority and tender their resignations
  • D. Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
Answer: A
Explanation:
If a licensed body discovers that any submitted documents or information are incorrect, misleading, or have been changed during an investigation, it is required to notify the concerned entity at the Authority or any of the capital market institutions immediately. According to the CISI UAE Financial Rules and Regulations, this immediate disclosure is critical for maintaining market integrity and ensuring that the Authority and other relevant bodies can take appropriate actions to address any issues of non-compliance or fraud. The prompt notification prevents further misrepresentation and safeguards the transparency of the financial markets.
Reference: CISI UAE Financial Rules and Regulations - Investigation and Disclosure Requirements, Section 5.6.2 (2023).

NEW QUESTION # 48
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:
  • A. always assume the communication is intended for a retail client
  • B. ensure all monetary examples are calculated to at least two decimal places
  • C. make the promotion available simultaneously in printed form and online
  • D. give a balanced impression of both short and long term prospects
Answer: D
Explanation:
For a financial promotion that quotes yield figures to comply with the clear, fair, and not misleading rule, it must give a balanced impression of both short and long term prospects. This ensures that the promotion does not mislead the client by focusing too heavily on short-term returns or exaggerating long-term performance. A balanced presentation of both short and long-term outcomes is essential for providing a full, accurate picture of the investment, allowing clients to make informed decisions. This approach aligns with the principles of transparency and fairness that underpin financial regulation.
Reference: CISI UAE Financial Rules and Regulations - Financial Promotions and Yield Quotes, Section
5.2.3 (2023).

NEW QUESTION # 49
......
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