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

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?

Options :

A : Client agreements and selling orders only

B : Selling orders and accounts only

C : Accounts and client agreements only

D : Client agreements, selling orders and accounts

Answer: D

Question 2

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 3

Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

Options :

A : Deposit not less than 90% of the public subscription proceeds within one business day of receipt

B : Deposit not less than 90% of the public subscription proceeds within two business days of receipt

C : Deposit not less than 100% of the public subscription proceeds within one business day of receipt

D : Deposit not less than 100% of the public subscription proceeds within two business days of receipt

Answer: C

Question 4

If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

Options :

A : No correction will be made

B : The provider will correct it

C : It will be re-determined

D : Liability is apportioned

Answer: A

Question 5

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