Biography
New UAE-Financial-Rules-and-Regulations Exam Forum & 100% Pass-Rate UAE-Financial-Rules-and-Regulations Valid Practice Questions & Verified CISI CISI UAE Financial Rules and Regulations Exam
You can use this CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) version on any operating system, and this software is accessible through any browser like Opera, Safari, Chrome, Firefox, and IE. You can easily assess yourself with the help of our CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) practice software, as it records all your previous results for future use. You can easily judge whether you can pass CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) on the first attempt or not, and if you don’t, you can use this software to strengthen your preparation.
We guarantee you that our top-rated CISI UAE-Financial-Rules-and-Regulations practice exam (PDF, desktop practice test software, and web-based practice exam) will enable you to pass the CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) certification exam on the very first go. The authority of Itexamguide in UAE-Financial-Rules-and-Regulations Exam Questions rests on its being high-quality and prepared according to the latest pattern.
>> UAE-Financial-Rules-and-Regulations Exam Forum <<
CISI UAE-Financial-Rules-and-Regulations Valid Practice Questions, UAE-Financial-Rules-and-Regulations Associate Level Exam
Our company is a professional exam dumps material providers, with occupying in this field for years, and we are quite familiar with compiling the UAE-Financial-Rules-and-Regulations exam materialls. If you choose us, we will give you free update for one year after purchasing. Besides, the quality of UAE-Financial-Rules-and-Regulations Exam Dumps is high, they contain both questions and answers, and you can practice first before seeing the answers. Choosing us means you choose to pass the exam successfully.
CISI UAE Financial Rules and Regulations Exam Sample Questions (Q53-Q58):
NEW QUESTION # 53
The role of the authorised agent of the exchange-traded fund (ETF) is to:
- A. regularly announce the indicative value of the net value of assets
- B. update sell and buy orders
- C. ensure that the transfer of ownership of units is completed
- D. announce the net value of the unit's assets on a daily basis
Answer: A
Explanation:
The authorised agent of an ETF has a critical role in maintaining transparency and liquidity in the market.
According to CISI UAE Financial Rules and Regulations, the authorised agent is responsible for regularly announcing the indicative value of the net assets of the ETF units. This indicative net asset value (iNAV) provides investors and market participants with a near real-time estimate of the underlying assets' value, reflecting market fluctuations throughout the trading day. Unlike the official net asset value (NAV), which is typically calculated at the end of the trading day, the iNAV supports intra-day trading decisions and helps maintain price alignment between the ETF units and their underlying assets. This responsibility is fundamental in ensuring efficient price discovery and protecting investor interests in the ETF market.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and ETF Operations, Section
6.4.2 (2023).
NEW QUESTION # 54
The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:
- A. on request
- B. on receipt of a complaint
- C. within 48 hours of accepting the client
- D. within 24 hours of accepting the client
Answer: A
Explanation:
Under the CISI UAE Financial Rules and Regulations, firms applying for a financial activities licence are required to have formal policies addressing client protection, including clear complaints handling procedures.
Such firms must make these proceduresavailable to clients on request, ensuring transparency and accessibility without imposing undue burden on clients or firms. The regulatory framework does not mandate automatic distribution within fixed timeframes upon client acceptance or complaint receipt but emphasizes accessibility and prompt responsiveness when clients seek the information. This approach balances operational feasibility and client rights to be informed about how their complaints will be managed. Providing the procedure upon request also fosters a trust-based relationship and helps resolve disputes effectively.
Reference:CISI UAE Financial Rules and Regulations - Client Protection and Complaints Handling, Section 4.2.7 (2023).
NEW QUESTION # 55
An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?
- A. A stress testing exercise
- B. An operational risk matrix
- C. Comparison with the same sector
- D. SWOT analysis
Answer: D
Explanation:
CISI UAE Financial Rules and Regulations require that feasibility studies and work plans submitted by licence applicants be evaluated using a SWOT analysis (Strengths, Weaknesses, Opportunities, and Threats).
This comprehensive method assesses the internal and external factors affecting the viability and strategic positioning of the applicant's business plan. The SWOT analysis helps regulators understand the applicant's operational readiness, competitive environment, risk exposures, and growth potential, ensuring robust due diligence before licensing. Other methods such as operational risk matrices or stress testing may be used in broader risk assessments but are not the primary evaluation tool for feasibility studies.
Reference: CISI UAE Financial Rules and Regulations - Licensing Procedures and Evaluation, Section 3.6.2 (2023).
NEW QUESTION # 56
A key reason why the regulator applies financial promotion rules is to ensure that:
- A. the impact of operational risk is avoided
- B. the market is kept competitive
- C. the customers are treated fairly
- D. the available product range is maximised
Answer: C
Explanation:
Financial promotion rules are enforced by the regulator primarily to ensure that customers are treated fairly.
These rules govern how financial products and services are marketed to prevent misleading, deceptive, or aggressive promotions that could harm investors. By regulating promotional materials and communications, the Authority aims to protect consumers, enable informed decision-making, and maintain trust in the financial markets. While market competitiveness and operational risk management are important, customer fairness is the central objective of financial promotion regulations in the UAE.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Financial Promotions, Section 4.2.1 (2023).
NEW QUESTION # 57
When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:
- A. immediately
- B. within a maximum of 72 hours
- C. after 5 working days
- D. within a maximum of 48 hours
Answer: B
Explanation:
CISI UAE Financial Rules and Regulations stipulate that for debt securities issued via public subscription, the offeror must announce any replacement of the trustee within a maximum of 72 hours. Prompt notification ensures transparency, allowing investors to be informed about key custodial and fiduciary changes that may affect the security's management and enforcement of rights. Delays beyond this period could impact investor confidence and violate continuous disclosure requirements, thus the 72-hour timeframe strikes a balance between operational feasibility and timely communication.
Reference: CISI UAE Financial Rules and Regulations - Debt Securities Public Offers and Trustee Notifications, Section 5.8.6 (2023).
NEW QUESTION # 58
......
Decades of painstaking efforts have put us in the leading position of UAE-Financial-Rules-and-Regulations training materials compiling market, and the excellent quality of our UAE-Financial-Rules-and-Regulations guide torrent and high class operation system in our company have won the common recognition from many international customers for us. With the high class operation system, we can assure you that you can start to prepare for the UAE-Financial-Rules-and-Regulations Exam with our study materials only 5 to 10 minutes after payment since our advanced operation system will send the UAE-Financial-Rules-and-Regulations exam torrent to your email address automatically as soon as possible after payment.
UAE-Financial-Rules-and-Regulations Valid Practice Questions: https://www.itexamguide.com/UAE-Financial-Rules-and-Regulations_braindumps.html
We offer you our UAE-Financial-Rules-and-Regulations test braindumps: CISI UAE Financial Rules and Regulations Exam here for you reference, Now you can trust Itexamguide UAE-Financial-Rules-and-Regulations practice questions and start preparation without wasting further time, To improve our products’ quality we employ first-tier experts and professional staff and to ensure that all the clients can pass the test we devote a lot of efforts to compile the UAE-Financial-Rules-and-Regulations study materials, UAE-Financial-Rules-and-Regulations Dumps and Practicing Software for Hands-on Experience of UAE-Financial-Rules-and-Regulations exam.
Key quote from their suggestions on how Office UAE-Financial-Rules-and-Regulations Exam Study Guide Depot can improve their financial performance called the retailer to increase the mix of its North American small and medium sized UAE-Financial-Rules-and-Regulations business customers, which it said are more profitable than larger contract accounts.
Pass Guaranteed 2025 Newest CISI UAE-Financial-Rules-and-Regulations Exam Forum
Many messaging system vendors have product extensions for bridging to messaging systems from other vendors, We offer you our UAE-Financial-Rules-and-Regulations Test Braindumps: CISI UAE Financial Rules and Regulations Exam here for you reference.
Now you can trust Itexamguide UAE-Financial-Rules-and-Regulations practice questions and start preparation without wasting further time, To improve our products’ quality we employ first-tier experts and professional staff and to ensure that all the clients can pass the test we devote a lot of efforts to compile the UAE-Financial-Rules-and-Regulations study materials.
UAE-Financial-Rules-and-Regulations Dumps and Practicing Software for Hands-on Experience of UAE-Financial-Rules-and-Regulations exam, Our UAE-Financial-Rules-and-Regulations torrent prep can apply to any learner whether students or working staff, novices or practitioners with years of experience.
