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UAE-Financial-Rules-and-Regulations최신업데이트버전덤프문제 - UAE-Financial-Rules-and-Regulations최신덤프데모다운로드

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UAE-Financial-Rules-and-Regulations최신 덤프데모 다운로드, UAE-Financial-Rules-and-Regulations시험유효덤프

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최신 Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations 무료샘플문제 (Q86-Q91):

질문 # 86
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 sale
• B. credit to cover the value of any losses
• C. credit to cover the value of purchase
• D. securities to the value of purchase

정답：C

설명：
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).

 

질문 # 87
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

• A. Deposit not less than 100% 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 90% 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

정답：A

설명：
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection. This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference:CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).

 

질문 # 88
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?

• A. Suspend any financial activity practised during an investigation
• B. Impose a financial fine of not less than AED 100,000
• C. Impose a financial fine of not more than AED 100,000
• D. Suspend the licensed body for a period of two years

정답：B

설명：
The CISI UAE Financial Rules and Regulations empower the Authority to impose financial fines of not less than AED 100,000 on licensed entities or persons found in violation of regulatory provisions. This minimum fine serves as a deterrent and underscores the regulator's authority to enforce compliance. While suspension of licensed bodies or activities can be imposed in some cases, the standard and frequently applied sanction is the financial penalty starting from AED 100,000. The Authority's sanctions framework ensures robust regulatory oversight and promotes adherence to UAE financial laws.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Sanctions and Penalties, Section 2.6.4 (2023).

 

질문 # 89
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

• A. 12 months
• B. month
• C. 6 months
• D. 3 months

정답：C

설명：
The CISI UAE Financial Rules and Regulations require that firms offering investment management services deliver periodic statements to retail clients at least every 6 months under normal circumstances. This frequency strikes a balance between providing clients with timely updates on their investments and operational practicality for firms. The statements include performance, transaction details, fees, and holdings, enabling retail clients to monitor their portfolios and make informed decisions. More frequent reporting may be required in special situations, but semi-annual reporting is the standard minimum.
Reference: CISI UAE Financial Rules and Regulations - Client Reporting Requirements, Section 4.5.3 (2023).

 

질문 # 90
Which of the following acts is considered to constitute the crime of money laundering?

• A. Investigating or checking on the true nature, source or location of proceeds as well as the method involving their ownership
• B. Transferring or moving proceeds or conducting any transaction with the aim of highlighting or opening their source to scrutiny
• C. Investigating internal reports where concerns of illegal activities are raised by staff
• D. Acquiring, possessing or using proceeds from an unverified source

정답：D

설명：
Under the UAE's Anti-Money Laundering (AML) laws, acquiring, possessing, or using proceeds from an unverified source constitutes the crime of money laundering. The crime occurs when an individual or entity uses illicitly obtained funds without verifying the legitimate source of those funds. This includes activities such as using proceeds from illegal activities for legitimate business purposes, thereby "laundering" the illicit funds. The UAE AML regulations impose strict penalties for such actions to deter money laundering and its harmful effects on the economy and financial system.
Reference: CISI UAE Financial Rules and Regulations - Money Laundering Definitions, Section 9.1.2 (2023).

 

질문 # 91
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