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UAE-Financial-Rules-and-Regulations Valid Dumps Ppt | Valid Dumps UAE-Financial-Rules-and-Regulations Files

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q56-Q61):

NEW QUESTION # 56
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:

A. the broker
B. the market committee
C. the clearing member
D. the investor

Answer: D

Explanation:
On the Dubai Financial Market (DFM), a good-till-cancelled (GTC) order remains active and available for execution until explicitly cancelled by the investor who placed it. This means the investor maintains control over the order's lifespan, allowing it to persist through trading sessions unless they choose to withdraw it.
Brokers or clearing members do not have authority to unilaterally cancel GTC orders, ensuring investor autonomy. The market committee also does not intervene in the cancellation of individual orders under normal circumstances. This design supports investor flexibility and orderly market functioning.
Reference: CISI UAE Financial Rules and Regulations - Trading Rules and Order Management, Section
7.3.2 (2023).

NEW QUESTION # 57
In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

A. credit to cover the value of purchase
B. credit to cover the value of sale
C. securities to the value of purchase
D. credit to cover the value of any losses

Answer: A

Explanation:
According to the CISI UAE Financial Rules and Regulations under Client Protection provisions, when a client buys and sells securities within the same trading session (day trading), the client must maintain sufficient credit to cover the value of purchase in their cash account at the time of the transaction. This rule ensures that clients have the necessary funds to settle their purchase obligations promptly, reducing settlement risk and maintaining market stability. Credit to cover sales is not required since sales generate funds rather than consume them. This provision supports orderly trading and financial discipline among market participants by preventing unsettled trades and possible defaults.
Reference: CISI UAE Financial Rules and Regulations - Client Protection, Trading and Settlement Rules, Section 4.3.2 (2023).

NEW QUESTION # 58
In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?

A. A court case against the licensed body is in progress
B. A takeover bid for the licensed body has been launched
C. A significant market correction is taking place
D. An emergency has been notified to the Authority

Answer: D

Explanation:
The CISI UAE Financial Rules and Regulations allow the waiver of the requirement for licensed bodies to disclose their legal status only in specific scenarios such as when an emergency has been notified to the Authority. This provision recognizes that during certain urgent situations, standard disclosure obligations may be temporarily suspended to allow for swift action or confidentiality. Other circumstances such as ongoing court cases, market corrections, or takeover bids do not automatically justify waivers of disclosure obligations, preserving investor transparency and trust under normal conditions.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Disclosure Obligations and Waivers, Section 4.1.10 (2023).

NEW QUESTION # 59
Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:

A. are to be valued subjectively
B. are consistent with the fund's investment strategy
C. may subsequently be disposed of
D. will be held as capital assets of the fund

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 # 60
A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:

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

Answer: C

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 # 61
......

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