최신CISI UAE Financial Rules and Regulations - UAE-Financial-Rules-and-Regulations무료샘플문제
문제1
A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?
A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?
정답: A
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문제2
The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:
The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:
정답: D
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문제3
Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
정답: D
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문제4
How long must licence applicants keep back-up copies of records?
How long must licence applicants keep back-up copies of records?
정답: A
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문제5
A key purpose of customer due diligence measures is to address the risk of:
A key purpose of customer due diligence measures is to address the risk of:
정답: B
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문제6
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
정답: C
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문제7
When a firm applies for a licence, it is only necessary to provide an exit strategy plan covering contract termination with an outsourced party if the firm intends to:
When a firm applies for a licence, it is only necessary to provide an exit strategy plan covering contract termination with an outsourced party if the firm intends to:
정답: A
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문제8
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
정답: B
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문제9
Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
정답: A
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문제10
What are brokerage firms able to do during the closing session?
What are brokerage firms able to do during the closing session?
정답: B
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문제11
A commodities market has failed to pay amounts due to the Authority for three months; however, its operations have not been suspended. Why is this?
A commodities market has failed to pay amounts due to the Authority for three months; however, its operations have not been suspended. Why is this?
정답: B
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문제12
Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
정답: B
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문제13
The minimum paid-up capital requirement for credit rating agencies is:
The minimum paid-up capital requirement for credit rating agencies is:
정답: D
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문제14
A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?
A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?
정답: B
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문제15
The contract size for an MSCI India Index Futures (INR) contract is:
The contract size for an MSCI India Index Futures (INR) contract is:
정답: B
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