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：