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CISI UAE-Financial-Rules-and-Regulations 考試概覽:
| 認證廠商: | CISI |
| 考試名稱: | CISI 阿聯酋金融法規與規章考試 |
| 考試代碼: | UAE-Financial-Rules-and-Regulations |
| 支援語言: | English |
| 推薦課程: | CISI 學習與資格認證 |
| 考試報名: | CISI 官方網站 |
| 範例考題: | CISI UAE-Financial-Rules-and-Regulations 範例考題 |
| 考試方式: | 通常透過 CISI 認可的考試中心或線上監考方式進行（因地區和主辦機構安排而異）。 |
| 必備條件: | 無正式的先決條件要求；建議對金融服務監管有基本瞭解。 |
| 官方大綱網址: | https://www.cisi.org |
CISI UAE-Financial-Rules-and-Regulations 考試大綱主題:
| 章節 | 目標 |
|---|---|
| 監管道德與專業標準 | - 金融服務中的道德標準
|
| 反洗錢與金融犯罪 | - 金融犯罪預防
|
| 金融行為與合規 | - 合規與監督
|
| 阿聯酋金融監管框架 | - 證券與投資監管
|
最新的 Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations 免費考試真題：
1. A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
A) the broker
B) the clearing member
C) the investor
D) the market committee
2. A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?
A) The vote against the resolution is automatically carried
B) The vote for the resolution is automatically carried
C) The decision is postponed until another vote can be taken
D) The chairman or their deputy is granted the casting vote
3. A real estate investment fund may borrow no more than what percentage of its total assets value?
A) 25%
B) 75%
C) 10%
D) 50%
4. If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
A) It is moved from a first category listing to a second category of listing
B) Its shares are suspended for at least six months
C) It is moved from a second category listing to a first category of listing
D) It is required to be audited more frequently
5. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
A) Risk management
B) Promotion
C) Analysis
D) Corporate planning
問題與答案：
| 問題 #1 答案： C | 問題 #2 答案： D | 問題 #3 答案： D | 問題 #4 答案： A | 問題 #5 答案： A |
111.83.36.* -
很棒，可以順利通過UAE-Financial-Rules-and-Regulations考試！