Higher Test Marks with Free Online UAE-Financial-Rules-and-Regulations Exam Practice

Assess the CertsIQ’s updated UAE-Financial-Rules-and-Regulations exam questions for free online practice of your CISI UAE Financial Rules and Regulations test. Our UAE Financial Rules and Regulations dumps questions will enhance your chances of passing the CISI Certifications certification exam with higher marks.

Question 1

When establishing a local investment fund, how much are the founders required to subscribe?

Options :

A : At least 1 million dirhams

B : At least 5 million dirhams

C : At least 10 million dirhams

D : At least 20 million dirhams

Answer: C

Question 2

Why would the Authority board resolve temporarily to halt trading in the shares of any company?

Options :

A : A written complaint is made relating to a market activity

B : A threat to the proper and regular working of that market arises

C : It transpires that the spouse of a board member is a director of that entity

D : It does not have the technical equipment necessary to conduct its activity electronically

Answer: B

Question 3

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

Options :

A : confidentiality

B : governance

C : equality

D : prudence

Answer: A

Question 4

The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:

Options :

A : is able to suspend operations in an emergency

B : can appoint a deputy during an unplanned absence

C : has access to sufficient resources

D : can report confidentially to the regulator

Answer: C

Question 5

Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

Options :

A : Routinely on a monthly basis

B : Routinely on a quarterly basis

C : Only if a complaint is made

D : Only if requested by them to do so

Answer: D