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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q44-Q49):

NEW QUESTION # 44
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. Selling orders and accounts only
B. Accounts and client agreements only
C. Client agreements, selling orders and accounts
D. Client agreements and selling orders only

Answer: C

Explanation:
The Dubai Financial Market's Professional Code of Conduct grants the DFM the right to access and review all core client-related records maintained by brokerage firms, including client agreements, selling orders, and accounts. This comprehensive access enables the DFM to monitor compliance, investigate complaints, and ensure that firms adhere to regulatory and ethical standards. Access to all three categories is essential to provide a complete picture of client interactions and transactions, ensuring market transparency and investor protection. Partial access would impair effective oversight and enforcement.
Reference: CISI UAE Financial Rules and Regulations - DFM Professional Code of Conduct, Records Access and Review, Section 4.1.6 (2023).

NEW QUESTION # 45
An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:

A. an alteration fee is paid at the same time
B. the correction is within a 5% error margin
C. the circumstances are considered to be exceptional
D. an impact assessment gives acceptable results

Answer: C

Explanation:
In trading systems regulated under the CISI UAE Financial Rules and Regulations, brokers must ensure the accuracy of account details associated with transactions. However, if an error occurs, such as using an incorrect trading account number, amendments are generally not allowed beyond the trading session unless specific conditions are met. The CISI rules state that amendments will only be made in exceptional circumstances. For instance, if the request for the amendment is made shortly after the session, such as within
40 minutes, and it can be demonstrated that the error had no significant impact on market stability or the involved parties, it may be considered exceptional. Therefore, a correction request is usually subject to a careful review of its impact, and the circumstances of the error must be deemed significant enough to warrant such an exception.
Reference: CISI UAE Financial Rules and Regulations - Trading Errors and Amendments, Section 8.4.1 (2023).

NEW QUESTION # 46
If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?

A. 0
B. 1
C. 2
D. 3

Answer: D

Explanation:
Under CISI UAE Financial Rules and Regulations, if a Special Purpose Acquisition Company (SPAC) does not complete a business combination within the stipulated timeframe, it must initiate measures to return the funds to investors within a maximum of 20 business days. This safeguard ensures that investors are not indefinitely exposed to risks related to unutilized capital in the SPAC, maintaining market discipline and investor protection. The regulations mandate clear timelines for fund returns to prevent misuse or undue delay, aligning with international SPAC best practices. Timely fund returns uphold investor confidence and market integrity, essential in the UAE's evolving financial landscape.
Reference: CISI UAE Financial Rules and Regulations - SPAC Regulations, Investor Protection and Fund Return, Section 6.3.8 (2023).

NEW QUESTION # 47
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:

A. 20 working days
B. 30 working days
C. 5 working days
D. 10 working days

Answer: A

Explanation:
According to the CISI UAE Financial Rules and Regulations, the process for establishing a local investment fund, including a public fund, involves obtaining approval from the relevant regulatory authority, which is usually the Securities and Commodities Authority (SCA). For public funds, the authority is required to either grant or reject the application within 20 working days from the submission date. This time frame ensures that there is adequate time for the Authority to review the application, conduct necessary evaluations, and ensure that the fund complies with all regulatory and legal requirements. The 20-working-day period ensures efficiency while allowing for a thorough review.
Reference: CISI UAE Financial Rules and Regulations - Investment Fund Establishment Process, Section
6.2.1 (2023).

NEW QUESTION # 48
If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

A. No correction will be made
B. Liability is apportioned
C. It will be re-determined
D. The provider will correct it

Answer: A

Explanation:
Under CISI UAE Financial Rules and Regulations governing market operations, if an error in the final cash settlement price of an equity index is discovered more than 30 minutes after publication, the Exchange will not make any correction. This rule limits the window for price correction to maintain market certainty and finality of settlements. After the 30-minute threshold, the published price stands as final, protecting contractual certainty and operational stability. While the provider may acknowledge errors, no re- determination or liability adjustment occurs post-deadline. This policy aligns with international exchange practices designed to minimize market disruption.
Reference: CISI UAE Financial Rules and Regulations - Market Settlement and Price Correction Rules, Section 7.5.9 (2023).

NEW QUESTION # 49
......

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