최신 UAE-Financial-Rules-and-Regulations 무료덤프 - CISI UAE Financial Rules and Regulations

문제1

When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

A. governance

B. equality

C. confidentiality

D. prudence

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제2

Applicants for an Authority licence must supply details covering the retention of employee data for what minimum period from the date of the last update?

A. Seven years

B. Ten years

C. Five years

D. Three years

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제3

When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

A. governance regulation

B. administration regulation

C. technical system

D. employee regulation

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

문제4

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

A. the client is not a qualified investor

B. the amount being invested exceeds AED 100,000

C. the licensed person has less than 3 years' relevant experience

D. the token falls into the high risk category

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

문제5

Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

A. whether the investment management will be outsourced

B. who will be appointed auditor for the fund

C. whether the limited partners can influence investment management

D. who bears main responsibility for regulatory compliance

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제6

Why would a transaction to purchase securities be declared null and void?

A. The Authority has levied a penalty for delay of payment

B. It was the result of a rumour being spread

C. The individual is a former employee

D. The investor has a conviction of an offence of dishonour

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제7

The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A. Companies in the second category

B. All public companies which have declared losses in the last 12 months

C. Companies in the first category

D. All private companies which have declared losses in the last 12 months

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제8

A commodities market has failed to pay amounts due to the Authority for three months; however, its operations have not been suspended. Why is this?

A. The matter was brought before the Authority's Board to decide on another course of action

B. The Chairman sits on the boards of both organisations

C. The notice to rectify had not yet expired

D. The organisation pays fees annually

정답: A

설명: (DumpTOP 회원만 볼 수 있음)

문제9

What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?

A. 30 barrels

B. 100 barrels

C. 3 barrels

D. 1,000 barrels

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

최신 UAE-Financial-Rules-and-Regulations 무료덤프 - CISI UAE Financial Rules and Regulations

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