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Exam Dumps UAE-Financial-Rules-and-Regulations Pdf - UAE-Financial-Rules-and-Regulations Visual Cert Test

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q60-Q65):

NEW QUESTION # 60
A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

A. AED 100 million
B. AED 150 million
C. AED 50 million
D. AED 30 million

Answer: A

Explanation:
As per the CISI UAE Financial Rules and Regulations, firms involved in custody, clearing, and recording services must have a minimum paid-up capital of AED 100 million. This capital requirement ensures that firms in this category have sufficient financial resources to manage the risks associated with their operations, which include handling clients' assets, ensuring compliance with financial regulations, and absorbing potential operational or financial losses. The higher capital threshold also enhances the stability and credibility of such firms, making them more resilient to market fluctuations and operational challenges.
Reference: CISI UAE Financial Rules and Regulations - Capital Requirements for Custody, Clearing, and Recording Firms, Section 7.3.2 (2023).

NEW QUESTION # 61
In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?

A. A significant market correction is taking place
B. A takeover bid for the licensed body has been launched
C. A court case against the licensed body is in progress
D. An emergency has been notified to the Authority

Answer: D

Explanation:
The CISI UAE Financial Rules and Regulations allow the waiver of the requirement for licensed bodies to disclose their legal status only in specific scenarios such as when an emergency has been notified to the Authority. This provision recognizes that during certain urgent situations, standard disclosure obligations may be temporarily suspended to allow for swift action or confidentiality. Other circumstances such as ongoing court cases, market corrections, or takeover bids do not automatically justify waivers of disclosure obligations, preserving investor transparency and trust under normal conditions.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Disclosure Obligations and Waivers, Section 4.1.10 (2023).

NEW QUESTION # 62
The Corporate Governance Guide automatically allows board members of public joint-stock companies to accept gifts up to what maximum stated value?

A. AED 200
B. AED 500
C. AED 100
D. AED 300

Answer: D

Explanation:
According to the Corporate Governance Guide for public joint-stock companies, board members are automatically allowed to accept gifts up to a maximum value of AED 300. This limit is set to ensure that the acceptance of gifts does not raise concerns about conflicts of interest or unethical conduct. By establishing a cap on the value of acceptable gifts, the guide aims to promote transparency and prevent any undue influence on the decision-making process of board members. This helps maintain the integrity of the corporate governance framework and fosters trust among stakeholders.
Reference: CISI UAE Financial Rules and Regulations - Corporate Governance and Gift Acceptance, Section 10.4.5 (2023).

NEW QUESTION # 63
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?

A. Five
B. Three
C. Four
D. Two

Answer: B

Explanation:
For a company wishing to offer shares after converting into a public joint-stock company, it must have released audited financial statements for a minimum of three fiscal years prior to the request to offer shares.
This requirement ensures that the company has a solid track record of financial performance and transparency, which is essential for potential investors to evaluate the company's viability and financial health. The three- year period provides enough historical data to assess trends and make informed investment decisions, supporting market integrity and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Requirements for Public Offerings, Section 4.2.3 (2023).

NEW QUESTION # 64
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:

A. subscriptions being taken at excessive levels from non-qualified investors
B. prices being allowed to fluctuate during the opening offer period
C. subscriptions being taken at different threshold levels
D. prices being determined at the discretion of the issuer

Answer: A

Explanation:
Under Federal Law No. 20 of 2018 and related CISI UAE Financial Rules and Regulations, issuers arranging crypto asset offerings must establish controls to prevent subscriptions being taken at excessive levels from non-qualified investors. This is a key investor protection and anti-money laundering measure designed to restrict high-risk investment exposure to those with adequate knowledge, resources, and risk appetite. By enforcing subscription limits for non-qualified investors, the regulations mitigate fraud, market manipulation, and financial losses while ensuring regulatory compliance. Controls over pricing discretion or fluctuations, while relevant, are not the central regulatory concern in this context.
Reference: CISI UAE Financial Rules and Regulations - AML and Crypto Asset Issuance Controls, Section
8.2.4 (2023).

NEW QUESTION # 65
......

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