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UAE-Financial-Rules-and-Regulations Valid Exam Sample | New UAE-Financial-Rules-and-Regulations Dumps

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q40-Q45):

NEW QUESTION # 40
A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:

A. the licensed person has less than 3 years' relevant experience
B. the token falls into the high risk category
C. the amount being invested exceeds AED 100,000
D. the client is not a qualified investor

Answer: D

Explanation:
According to CISI UAE Financial Rules and Regulations, a licensed person dealing with security tokens must conduct a suitability check when the client is not a qualified investor. This requirement protects less sophisticated investors by ensuring that the financial products offered match their investment knowledge, risk tolerance, and financial circumstances. Qualified investors are presumed to have sufficient expertise and resources, thus not mandating suitability checks. The nature of the token or amount invested is not the primary trigger; rather, client qualification status governs the obligation to perform suitability assessments.
This aligns with investor protection principles embedded in UAE financial regulations.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Suitability Checks, Section
4.3.9 (2023).

NEW QUESTION # 41
For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:

A. 45 days from the end of the semi-annual period
B. 2 months from the end of the semi-annual period
C. 2 months from the end of the financial year
D. 30 days from the end of the financial year

Answer: B

Explanation:
Per CISI UAE Financial Rules and Regulations governing investment funds, a semi-annual report on the public fund's performance must be prepared no later than 2 months from the end of the semi-annual period.
This reporting timeline ensures timely disclosure to investors and regulators, providing transparency about fund performance, investment activities, and compliance with regulatory standards. The semi-annual report serves as a key accountability mechanism, enabling investors to make informed decisions and maintain confidence in the fund management. The requirement for a two-month deadline aligns with global best practices in fund reporting.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Reporting Requirements, Section
6.5.4 (2023).

NEW QUESTION # 42
Membership of an Authority regulated market is obligatory for which of the following entities?

A. Licensed brokers
B. Listed joint-stock companies and licensed brokers
C. Listed joint-stock companies, licensed brokers and any other type of business entity
D. Listed joint-stock companies, licensed brokers and other listed entities

Answer: D

Explanation:
Under the UAE regulatory framework, membership of an Authority-regulated market is obligatory for listed joint-stock companies, licensed brokers, and other listed entities. This requirement ensures that all entities involved in public trading or listed on the market adhere to the regulatory standards set by the market's governing body. It provides a structured environment for trading and market oversight, promoting transparency and fairness. The inclusion of licensed brokers and other listed entities ensures that all market participants are subject to the same rules, helping to maintain integrity and stability in the market.
Reference: CISI UAE Financial Rules and Regulations - Market Membership Requirements, Section 3.1.4 (2023).

NEW QUESTION # 43
A real estate investment fund may borrow no more than what percentage of its total assets value?

A. 50%
B. 75%
C. 25%
D. 10%

Answer: A

Explanation:
According to the CISI UAE Financial Rules and Regulations, real estate investment funds are subject to borrowing limits to ensure financial stability and prevent excessive leverage. A real estate investment fund may borrow no more than 50% of its total assets value. This limit helps mitigate the risks associated with high levels of debt and ensures that the fund remains adequately capitalized to handle fluctuations in the real estate market. By restricting the borrowing capacity, the regulations aim to protect investors and ensure the fund's long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Borrowing Limits for Real Estate Investment Funds, Section 6.1.5 (2023).

NEW QUESTION # 44
The last trading day for an India Gold Quanto Futures contract is:

A. the 25th calendar day of the delivery month
B. one business day prior to the last business day of the delivery month
C. four business days prior to the 25th calendar day of the delivery month
D. two business days prior to the last business day of the delivery month

Answer: D

Explanation:
For India Gold Quanto Futures contracts, the last trading day is defined as two business days prior to the last business day of the delivery month. This rule ensures that there is adequate time for the settlement and adjustment of any open positions before the final day of trading. The two-day buffer also allows for the reconciliation of positions, making the futures market more efficient and reducing the likelihood of disputes regarding settlement. This is in line with global standards for futures contracts where the settlement and final trading days are clearly defined to protect market integrity and investor interests.
Reference: CISI UAE Financial Rules and Regulations - Futures Contract Trading, Section 8.2.4 (2023).

NEW QUESTION # 45
......

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