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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q56-Q61):

NEW QUESTION # 56
The last trading day for an India Gold Quanto Futures contract is:

A. the 25th calendar day of the delivery month
B. one business day prior to the last business day of the delivery month
C. four business days prior to the 25th calendar day of the delivery month
D. two business days prior to the last business day of the delivery month

Answer: D

Explanation:
For India Gold Quanto Futures contracts, the last trading day is defined as two business days prior to the last business day of the delivery month. This rule ensures that there is adequate time for the settlement and adjustment of any open positions before the final day of trading. The two-day buffer also allows for the reconciliation of positions, making the futures market more efficient and reducing the likelihood of disputes regarding settlement. This is in line with global standards for futures contracts where the settlement and final trading days are clearly defined to protect market integrity and investor interests.
Reference: CISI UAE Financial Rules and Regulations - Futures Contract Trading, Section 8.2.4 (2023).

NEW QUESTION # 57
On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?

A. 0
B. 1
C. 2
D. 3

Answer: D

Explanation:
The Dubai Gold & Commodities Exchange (DGCX) provides trading for Dubai India Quanto Crude Oil futures with a contract tenor that includes 12 delivery months available for trading at any given time. This rolling 12-month schedule allows market participants to hedge or speculate on crude oil prices across the upcoming year, providing liquidity and flexibility. The availability of 12 delivery months is a standard practice for energy futures contracts, facilitating continuous market engagement and risk management over a full annual cycle. This structure is detailed in the DGCX contract specifications and is consistent with the UAE's commodity trading regulations aimed at market efficiency and transparency.
Reference: CISI UAE Financial Rules and Regulations - Commodity Markets and Futures Trading, DGCX Specifications, Section 7.4.1 (2023).

NEW QUESTION # 58
In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

A. credit to cover the value of any losses
B. credit to cover the value of sale
C. securities to the value of purchase
D. credit to cover the value of purchase

Answer: D

Explanation:
According to the CISI UAE Financial Rules and Regulations under Client Protection provisions, when a client buys and sells securities within the same trading session (day trading), the client must maintain sufficient credit to cover the value of purchase in their cash account at the time of the transaction. This rule ensures that clients have the necessary funds to settle their purchase obligations promptly, reducing settlement risk and maintaining market stability. Credit to cover sales is not required since sales generate funds rather than consume them. This provision supports orderly trading and financial discipline among market participants by preventing unsettled trades and possible defaults.
Reference: CISI UAE Financial Rules and Regulations - Client Protection, Trading and Settlement Rules, Section 4.3.2 (2023).

NEW QUESTION # 59
A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A. Only the CEO's compensation had been approved by the Authority
B. They had been employed by the company during the previous year
C. They were supported by just three other board members
D. Only the chairman held a tranche of the company's shares

Answer: B

Explanation:
According to CISI UAE Financial Rules and Regulations, applications for licences to conduct clearing activities require that key senior officers such as the chairman and CEO meet certain tenure and independence criteria. The application was refused because both the newly appointed chairman and CEO had been employed by the company during the previous year, which raises concerns about independence and potential conflicts of interest. Regulators require sufficient separation and stability in leadership to ensure effective governance and risk management in critical market infrastructure roles like clearing. The recent employment history suggested insufficient cooling-off periods or independence safeguards.
Reference: CISI UAE Financial Rules and Regulations - Licensing Requirements for Clearing Firms, Section 7.1.3 (2023).

NEW QUESTION # 60
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A. within no less than 14 days
B. promptly in advance
C. immediately after implementation
D. within no less than 7 days

Answer: B

Explanation:
The CISI UAE Financial Rules and Regulations require that investors in crypto assets be promptly notified in advance of any material change in the nature of the software relevant to the assets. This advance notification is crucial to allow investors to make informed decisions regarding their holdings before changes take effect.
Material changes could affect functionality, security, or value of the crypto asset. The regulation promotes transparency and investor protection by ensuring timely and clear communication, preventing investors from being blindsided by unexpected developments. The requirement aligns with international best practices on disclosure for crypto asset issuers.
Reference: CISI UAE Financial Rules and Regulations - Legislation and Practice, Crypto Asset Regulation, Section 7.2.1 (2023).

NEW QUESTION # 61
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Mark Lewis Mark Lewis

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