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【Hardware】 UAE-Financial-Rules-and-Regulations Latest Dumps | Test UAE-Financial-Rules-and-

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q14-Q19):NEW QUESTION # 14
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
  • A. Two calendar days
  • B. Five business days
  • C. Three business days
  • D. Four calendar days
Answer: C
Explanation:
According to CISI UAE Financial Rules and Regulations, applicants for a financial activities licence must ensure that their record-keeping systems allow for recovery of electronic records from archives within a maximum period of three business days. This requirement ensures timely access to data necessary for audits, investigations, and regulatory reviews. The three-business-day timeframe balances operational feasibility with regulatory needs for responsiveness and data integrity, supporting transparency and compliance in the UAE financial sector.
Reference: CISI UAE Financial Rules and Regulations - Record-Keeping and Data Recovery Procedures, Section 3.5.10 (2023).

NEW QUESTION # 15
Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?
  • A. Routinely on a quarterly basis
  • B. Routinely on a monthly basis
  • C. Only if a complaint is made
  • 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 # 16
If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
  • A. Its shares are suspended for at least six months
  • B. It is moved from a first category listing to a second category of listing
  • C. It is required to be audited more frequently
  • D. It is moved from a second category listing to a first category of listing
Answer: B
Explanation:
If a listed company faces accumulated losses of 50% or more of its capital, the company is required to be moved from a first category listing to a second category of listing. This measure is designed to protect investors by ensuring that only financially stable companies remain in the primary listing category, which is subject to stricter regulatory oversight and higher investor expectations. The second category listing provides a lower level of visibility, which reflects the increased financial risks associated with such companies. This helps mitigate the potential impact on other market participants.
Reference: CISI UAE Financial Rules and Regulations - Listing Categories and Financial Health, Section
2.5.1 (2023).

NEW QUESTION # 17
An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?
  • A. Two months
  • B. Three months
  • C. Four months
  • D. One month
Answer: B
Explanation:
Under CISI UAE Financial Rules and Regulations, an in-kind shares evaluation report must be based on data covering a maximum period of three months prior to the evaluation date. This ensures the valuation reflects recent market conditions and financial information, maintaining accuracy and relevance. Longer periods could risk outdated or misleading valuations, affecting investor decisions and fund reporting. The three-month timeframe is aligned with international valuation standards applied to in-kind contributions to investment funds.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds, In-Kind Share Valuation Requirements, Section 6.2.8 (2023).

NEW QUESTION # 18
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:
  • A. within no less than 14 days
  • B. within no less than 7 days
  • C. immediately after implementation
  • D. promptly in advance
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations require that investors in crypto assets be promptly notified in advance of any material change in the nature of the software relevant to the assets. This advance notification is crucial to allow investors to make informed decisions regarding their holdings before changes take effect.
Material changes could affect functionality, security, or value of the crypto asset. The regulation promotes transparency and investor protection by ensuring timely and clear communication, preventing investors from being blindsided by unexpected developments. The requirement aligns with international best practices on disclosure for crypto asset issuers.
Reference: CISI UAE Financial Rules and Regulations - Legislation and Practice, Crypto Asset Regulation, Section 7.2.1 (2023).

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