最新的CISI UAE Financial Rules and Regulations - UAE-Financial-Rules-and-Regulations免費考試真題
問題1
A key reason why the regulator applies financial promotion rules is to ensure that:
正確答案: D
問題2
Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in- kind share transfer?
正確答案: B
說明：（僅 VCESoft 成員可見）
問題3
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:
正確答案: B
說明：（僅 VCESoft 成員可見）
問題4
To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?
正確答案: A
說明：（僅 VCESoft 成員可見）
問題5
An introducer approved by the Authority is obliged to obtain further approval before:
正確答案: A
說明：（僅 VCESoft 成員可見）
問題6
Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
正確答案: D
說明：（僅 VCESoft 成員可見）
問題7
The role of the authorised agent of the exchange-traded fund (ETF) is to:
正確答案: B
說明：（僅 VCESoft 成員可見）
問題8
When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:
正確答案: C
說明：（僅 VCESoft 成員可見）
問題9
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
正確答案: B
說明：（僅 VCESoft 成員可見）
問題10
Where debt instruments are held by cash investment funds, the credit rating of these instruments must reach what minimum threshold?
正確答案: A
說明：（僅 VCESoft 成員可見）
問題11
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
正確答案: C
說明：（僅 VCESoft 成員可見）
問題12
The approved job for conducting securities dealing is:
正確答案: C
說明：（僅 VCESoft 成員可見）
問題13
Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:
正確答案: A
說明：（僅 VCESoft 成員可見）
問題14
If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?
正確答案: B
說明：（僅 VCESoft 成員可見）
問題15
An application for conciliation has been submitted to the Authority. Within what maximum time following receipt must a decision be made?
正確答案: C
說明：（僅 VCESoft 成員可見）
