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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q16-Q21):

NEW QUESTION # 16
If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?

A. Evaluators
B. Auditors
C. Share providers
D. Founders

Answer: D

Explanation:
According to CISI UAE Financial Rules and Regulations, when in-kind shares are provided at fund inception and the subscription fails, the founders bear the related expenses in the absence of any special agreement. This allocation reflects the founders' responsibility in establishing and capitalizing the fund and absorbing initial setup costs, including those related to failed subscriptions. Share providers, auditors, or evaluators are not typically liable for such expenses unless contractual terms explicitly assign such responsibility. This regulatory stance encourages clarity and accountability in fund founding arrangements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Incorporation and Expense Allocation, Section 6.2.11 (2023).

NEW QUESTION # 17
For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:

A. 30 days from the end of the financial year
B. 2 months from the end of the financial year
C. 45 days from the end of the semi-annual period
D. 2 months from the end of the semi-annual period

Answer: D

Explanation:
Per CISI UAE Financial Rules and Regulations governing investment funds, a semi-annual report on the public fund's performance must be prepared no later than 2 months from the end of the semi-annual period.
This reporting timeline ensures timely disclosure to investors and regulators, providing transparency about fund performance, investment activities, and compliance with regulatory standards. The semi-annual report serves as a key accountability mechanism, enabling investors to make informed decisions and maintain confidence in the fund management. The requirement for a two-month deadline aligns with global best practices in fund reporting.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Reporting Requirements, Section
6.5.4 (2023).

NEW QUESTION # 18
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?

A. The provider will correct it
B. Liability is apportioned
C. No correction will be made
D. It will be re-determined

Answer: C

Explanation:
Under CISI UAE Financial Rules and Regulations governing market operations, if an error in the final cash settlement price of an equity index is discovered more than 30 minutes after publication, the Exchange will not make any correction. This rule limits the window for price correction to maintain market certainty and finality of settlements. After the 30-minute threshold, the published price stands as final, protecting contractual certainty and operational stability. While the provider may acknowledge errors, no re- determination or liability adjustment occurs post-deadline. This policy aligns with international exchange practices designed to minimize market disruption.
Reference: CISI UAE Financial Rules and Regulations - Market Settlement and Price Correction Rules, Section 7.5.9 (2023).

NEW QUESTION # 19
If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

A. rounded down to the nearest price tick
B. rounded to one decimal place
C. rounded to two decimal places
D. rounded up to the nearest price tick

Answer: D

Explanation:
The Dubai Financial Market (DFM) utilizes precise rules to calculate the theoretical auction price during pre- closing sessions to ensure market transparency and fairness. According to the CISI UAE Financial Rules and Regulations and DFM official trading manuals, when the mid-point price is used in price determination, it is roundedupto the nearest price tick. This rounding mechanism ensures consistency in pricing and avoids fractional pricing issues that could disrupt the matchingof buy and sell orders. The concept of a price tick is a minimum price movement allowed in trading, defined by the market's tick size schedule. By rounding up, the market supports price stability and protects sellers during the auction process. This is explicitly stated in DFM' s trading rules section regarding auction price calculation and tick size adjustments.
Reference:CISI UAE Financial Rules and Regulations - Dubai Financial Market Rules, Auction Price Determination, Section 5.2.3 (2023).

NEW QUESTION # 20
A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

A. AED 100 million
B. AED 30 million
C. AED 50 million
D. AED 150 million

Answer: A

Explanation:
As per the CISI UAE Financial Rules and Regulations, firms involved in custody, clearing, and recording services must have a minimum paid-up capital of AED 100 million. This capital requirement ensures that firms in this category have sufficient financial resources to manage the risks associated with their operations, which include handling clients' assets, ensuring compliance with financial regulations, and absorbing potential operational or financial losses. The higher capital threshold also enhances the stability and credibility of such firms, making them more resilient to market fluctuations and operational challenges.
Reference: CISI UAE Financial Rules and Regulations - Capital Requirements for Custody, Clearing, and Recording Firms, Section 7.3.2 (2023).

NEW QUESTION # 21
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Isabella Young Isabella Young

Biography

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