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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q10-Q15):

NEW QUESTION # 10
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A. selling securities on the client's behalf
B. accepting new orders from the client
C. providing investment advice to the client
D. paying any cash to the client

Answer: B

Explanation:
According to CISI UAE Financial Rules and Regulations, if a client holds a debit balance with a brokerage firm on the Dubai Financial Market (DFM), the firm is prevented from accepting new orders from that client until the debit balance is cleared. This measure protects both the brokerage firm and market integrity by ensuring that clients do not accumulate unpaid debts from trading activities, thereby reducing credit risk. The restriction applies specifically to new orders; other services such as providing advice or selling securities may continue under certain conditions.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Debit Balance Controls, Section 4.4.12 (2023).

NEW QUESTION # 11
Membership of an Authority regulated market is obligatory for which of the following entities?

A. Licensed brokers
B. Listed joint-stock companies, licensed brokers and other listed entities
C. Listed joint-stock companies, licensed brokers and any other type of business entity
D. Listed joint-stock companies and licensed brokers

Answer: B

Explanation:
Under the UAE regulatory framework, membership of an Authority-regulated market is obligatory for listed joint-stock companies, licensed brokers, and other listed entities. This requirement ensures that all entities involved in public trading or listed on the market adhere to the regulatory standards set by the market's governing body. It provides a structured environment for trading and market oversight, promoting transparency and fairness. The inclusion of licensed brokers and other listed entities ensures that all market participants are subject to the same rules, helping to maintain integrity and stability in the market.
Reference: CISI UAE Financial Rules and Regulations - Market Membership Requirements, Section 3.1.4 (2023).

NEW QUESTION # 12
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A. the audit committee
B. external consultants
C. an independent audit function
D. regular operational resilience exercises

Answer: C

Explanation:
Under the UAE Anti-Money Laundering (AML) laws and regulations, financial institutions are required to periodically test the effectiveness of their internal policies, controls, and procedures designed to combat money laundering. The independent audit function is specifically responsible for testing and evaluating these AML frameworks. The independent auditor must assess whether the institution's systems and procedures effectively detect, prevent, and report suspicious transactions and activities. This audit ensures that the policies are up-to-date, comprehensive, and compliant with both local and international standards. Regular audits provide an additional layer of scrutiny, ensuring that financial institutions can demonstrate their commitment to preventing money laundering and terrorist financing.
Reference: CISI UAE Financial Rules and Regulations - AML Testing and Audits, Section 9.5.2 (2023).

NEW QUESTION # 13
The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A. Referral to the Central Bank
B. Negotiated out-of-court settlement
C. Payment of a prescribed amount of money
D. Suspension of activities for a specified period

Answer: B

Explanation:
The CISI UAE Financial Rules and Regulations provide for a conciliation process whereby the Authority may impose a negotiated out-of-court settlement as an alternative to criminal prosecution. This mechanism allows for the resolution of regulatory breaches through mutual agreement, often involving remedial actions and financial penalties, without lengthy court proceedings. It supports regulatory efficiency and offers a less adversarial path to compliance while maintaining enforcement effectiveness. Suspension or referral are different enforcement actions but not part of the conciliation alternative.
Reference: CISI UAE Financial Rules and Regulations - Enforcement and Conciliation Procedures, Section
2.7.5 (2023).

NEW QUESTION # 14
The contract size for an MSCI India Index Futures (INR) contract is:

A. 20 index points x price
B. 50 index points x price
C. 5 index points x price
D. 25 index points x price

Answer: B

Explanation:
The contract size for the MSCI India Index Futures (INR) contract is defined as 50 index points x price. This means that each contract is linked to the movement of 50 index points, and the value of each index point is multiplied by the price of the index. The contract size reflects the amount of exposure an investor takes on when trading in this futures contract, and the multiplier is set to provide a manageable level of risk and exposure to market fluctuations. This standardization allows traders to gauge the value of their positions and facilitates liquidity in the futures market.
Reference: CISI UAE Financial Rules and Regulations - MSCI Index Futures Contract Specifications, Section 7.2.1 (2023).

NEW QUESTION # 15
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Keith Bell Keith Bell

Biography

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