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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q37-Q42):
NEW QUESTION # 37
A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
Answer: A
Explanation:
According to CISI UAE Financial Rules and Regulations, a licensed person dealing with security tokens must conduct a suitability check when the client is not a qualified investor. This requirement protects less sophisticated investors by ensuring that the financial products offered match their investment knowledge, risk tolerance, and financial circumstances. Qualified investors are presumed to have sufficient expertise and resources, thus not mandating suitability checks. The nature of the token or amount invested is not the primary trigger; rather, client qualification status governs the obligation to perform suitability assessments.
This aligns with investor protection principles embedded in UAE financial regulations.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Suitability Checks, Section
4.3.9 (2023).
NEW QUESTION # 38
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
Answer: D
Explanation:
On the Dubai Financial Market (DFM), a good-till-cancelled (GTC) order remains active and available for execution until explicitly cancelled by the investor who placed it. This means the investor maintains control over the order's lifespan, allowing it to persist through trading sessions unless they choose to withdraw it.
Brokers or clearing members do not have authority to unilaterally cancel GTC orders, ensuring investor autonomy. The market committee also does not intervene in the cancellation of individual orders under normal circumstances. This design supports investor flexibility and orderly market functioning.
Reference: CISI UAE Financial Rules and Regulations - Trading Rules and Order Management, Section
7.3.2 (2023).
NEW QUESTION # 39
If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?
Answer: B
Explanation:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, if a person convicted of a money laundering offence is a repeat offender, the minimum fine imposed is doubled compared to the first offence. This increased penalty reflects the heightened regulatory and punitive response to repeated non- compliance, emphasizing deterrence and the protection of the financial system. Repeat offenders face more severe consequences to underscore the seriousness of continued illegal activity and to promote adherence to AML laws.
Reference: CISI UAE Financial Rules and Regulations - AML Penalties and Repeat Offences, Section 8.4.6 (2023).
NEW QUESTION # 40
The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:
Answer: A
Explanation:
Disclosing a licensed body's legal status and its licensing by the Authority is crucial because it enables clients and others who may suffer from perceived or actual misbehaviour to raise their concerns with the regulator.
This transparency mechanism empowers investors and market participants to seek redress and promotes regulatory oversight. While the disclosure also signifies the firm's subjection to regulatory supervision, the primary benefit is facilitating complaint handling and protection. It does not imply that no misbehaviour occurs, nor does it authorize the unauthorised use of the Authority's branding by third parties.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Regulatory Disclosure, Section 4.1.8 (2023).
NEW QUESTION # 41
Which of the following financial activities comes under the fifth category licence?
Answer: C
Explanation:
The fifth category licence under UAE financial regulations pertains specifically to credit rating agencies.
These entities assess the creditworthiness of issuers of debt, including governments and corporations, and their ratings are critical for investors and markets. The fifth category licence provides the legal framework for credit rating agencies to operate within the UAE's financial sector, ensuring they meet the regulatory standards and criteria set by the Securities and Commodities Authority (SCA). This helps ensure transparency, reliability, and trust in the credit ratings issued, which are vital for maintaining market stability and investor confidence.
Reference: CISI UAE Financial Rules and Regulations - Financial Activities Licences, Section 4.2.1 (2023).
NEW QUESTION # 42
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