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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q90-Q95):
NEW QUESTION # 90
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 48 hours
- C. after 5 working days
- D. within a maximum of 72 hours
Answer: D
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 # 91
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
- A. 80%
- B. 70%
- C. 50%
- D. 60%
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, brokerage companies must use 70% of the market value of securities they own to increase the value of their guarantee. This guarantee acts as a financial safeguard to ensure the firm's stability and protect clients and counterparties against default risk. The 70% proportion strikes a balance between maximizing the leverage of owned securities and maintaining prudent risk management. It reflects the regulatory emphasis on requiring sufficient collateral and guarantees to support brokerage operations, maintaining market confidence and financial soundness within the UAE capital markets.
Reference: CISI UAE Financial Rules and Regulations - Brokerage Firms Guarantees, Section 3.3.9 (2023).
NEW QUESTION # 92
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:
- A. the audit committee
- B. an independent audit function
- C. external consultants
- D. regular operational resilience exercises
Answer: B
Explanation:
Under the UAE Anti-Money Laundering (AML) laws and regulations, financial institutions are required to periodically test the effectiveness of their internal policies, controls, and procedures designed to combat money laundering. The independent audit function is specifically responsible for testing and evaluating these AML frameworks. The independent auditor must assess whether the institution's systems and procedures effectively detect, prevent, and report suspicious transactions and activities. This audit ensures that the policies are up-to-date, comprehensive, and compliant with both local and international standards. Regular audits provide an additional layer of scrutiny, ensuring that financial institutions can demonstrate their commitment to preventing money laundering and terrorist financing.
Reference: CISI UAE Financial Rules and Regulations - AML Testing and Audits, Section 9.5.2 (2023).
NEW QUESTION # 93
The conciliation process allows the Authority to impose what alternative to criminal prosecution?
- A. Referral to the Central Bank
- B. Suspension of activities for a specified period
- C. Negotiated out-of-court settlement
- D. Payment of a prescribed amount of money
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations provide for a conciliation process whereby the Authority may impose a negotiated out-of-court settlement as an alternative to criminal prosecution. This mechanism allows for the resolution of regulatory breaches through mutual agreement, often involving remedial actions and financial penalties, without lengthy court proceedings. It supports regulatory efficiency and offers a less adversarial path to compliance while maintaining enforcement effectiveness. Suspension or referral are different enforcement actions but not part of the conciliation alternative.
Reference: CISI UAE Financial Rules and Regulations - Enforcement and Conciliation Procedures, Section
2.7.5 (2023).
NEW QUESTION # 94
The approved job for conducting securities dealing is:
- A. Trading Manager
- B. Operations Manager
- C. Broker Representative
- D. Category Manager
Answer: C
Explanation:
In the CISI UAE Financial Rules and Regulations, the role formally authorized to conduct securities dealing is that of a Broker Representative. This role is specifically licensed and trained to execute trades on behalf of clients and manage securities transactions within regulatory frameworks. Other positions like Trading Manager or Operations Manager have important but different operational and supervisory functions and do not directly engage in client securities dealing. The Broker Representative's licensing ensures adherence to professional standards, client protection, and market integrity.
Reference: CISI UAE Financial Rules and Regulations - Licensing and Job Roles, Section 3.1.9 (2023).
NEW QUESTION # 95
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