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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q11-Q16):
NEW QUESTION # 11
A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?
- A. Client agreements, selling orders and accounts
- B. Client agreements and selling orders only
- C. Selling orders and accounts only
- D. Accounts and client agreements only
Answer: A
Explanation:
The Dubai Financial Market's Professional Code of Conduct grants the DFM the right to access and review all core client-related records maintained by brokerage firms, including client agreements, selling orders, and accounts. This comprehensive access enables the DFM to monitor compliance, investigate complaints, and ensure that firms adhere to regulatory and ethical standards. Access to all three categories is essential to provide a complete picture of client interactions and transactions, ensuring market transparency and investor protection. Partial access would impair effective oversight and enforcement.
Reference: CISI UAE Financial Rules and Regulations - DFM Professional Code of Conduct, Records Access and Review, Section 4.1.6 (2023).
NEW QUESTION # 12
Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:
- A. will be held as capital assets of the fund
- B. are consistent with the fund's investment strategy
- C. may subsequently be disposed of
- D. are to be valued subjectively
Answer: B
Explanation:
For self-funded founders accepting in-kind shares into a fund, the CISI UAE Financial Rules and Regulations require that the fund prospectus clearly state whether such shares are consistent with the fund's investment strategy. This ensures transparency for investors regarding the nature and suitability of the assets held within the fund. Declaring consistency with the investment strategy helps investors assess the fund's objectives and risk profile accurately. Other details like valuation and disposal are important but the primary disclosure focus is on strategic alignment to maintain trust and regulatory compliance. This requirement underscores the importance of fund governance and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds, Fund Prospectus Requirements, Section 6.2.4 (2023).
NEW QUESTION # 13
Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?
- A. A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
- B. A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
- C. A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
- D. A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
Answer: A
Explanation:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, financial institutions that violate anti-money laundering (AML) and counter-terrorism financing (CTF) laws may be subjected to administrative penalties ranging from no less than AED 50,000 and no more than AED 5,000,000 for each violation. These substantial fines underscore the UAE's commitment to stringent AML/CTF enforcement and deterrence. Administrative penalties are imposed alongside other measures such as corrective actions and possible criminal sanctions, ensuring comprehensive regulatory oversight.
Reference: CISI UAE Financial Rules and Regulations - AML Enforcement and Penalties, Section 8.5.4 (2023).
NEW QUESTION # 14
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. 15%
- B. 5%
- C. 10%
- D. 3%
Answer: B
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 # 15
Why would a transaction to purchase securities be declared null and void?
- A. It was the result of a rumour being spread
- B. The investor has a conviction of an offence of dishonour
- C. The individual is a former employee
- D. The Authority has levied a penalty for delay of payment
Answer: A
Explanation:
A transaction to purchase securities could be declared null and void if it was the result of a rumour being spread. According to the CISI UAE Financial Rules and Regulations, transactions based on market manipulation, misinformation, or rumors that mislead investors and distort the market are considered invalid.
The integrity of the financial markets depends on transparency and the accuracy of the information that drives trading decisions. Therefore, if a transaction is found to have been influenced by rumors, it could be declared void to maintain fairness and prevent manipulative practices.
Reference: CISI UAE Financial Rules and Regulations - Market Manipulation and Invalid Transactions, Section 6.3.2 (2023).
NEW QUESTION # 16
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