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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q66-Q71):

NEW QUESTION # 66
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:

A. the investor
B. the broker
C. the clearing member
D. the market committee

Answer: A

Explanation:
On the Dubai Financial Market (DFM), a good-till-cancelled (GTC) order remains active and available for execution until explicitly cancelled by the investor who placed it. This means the investor maintains control over the order's lifespan, allowing it to persist through trading sessions unless they choose to withdraw it.
Brokers or clearing members do not have authority to unilaterally cancel GTC orders, ensuring investor autonomy. The market committee also does not intervene in the cancellation of individual orders under normal circumstances. This design supports investor flexibility and orderly market functioning.
Reference: CISI UAE Financial Rules and Regulations - Trading Rules and Order Management, Section
7.3.2 (2023).

NEW QUESTION # 67
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A. promptly in advance
B. within no less than 14 days
C. immediately after implementation
D. within no less than 7 days

Answer: A

Explanation:
The CISI UAE Financial Rules and Regulations require that investors in crypto assets be promptly notified in advance of any material change in the nature of the software relevant to the assets. This advance notification is crucial to allow investors to make informed decisions regarding their holdings before changes take effect.
Material changes could affect functionality, security, or value of the crypto asset. The regulation promotes transparency and investor protection by ensuring timely and clear communication, preventing investors from being blindsided by unexpected developments. The requirement aligns with international best practices on disclosure for crypto asset issuers.
Reference: CISI UAE Financial Rules and Regulations - Legislation and Practice, Crypto Asset Regulation, Section 7.2.1 (2023).

NEW QUESTION # 68
The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A. Suspension of activities for a specified period
B. Negotiated out-of-court settlement
C. Payment of a prescribed amount of money
D. Referral to the Central Bank

Answer: B

Explanation:
The CISI UAE Financial Rules and Regulations provide for a conciliation process whereby the Authority may impose a negotiated out-of-court settlement as an alternative to criminal prosecution. This mechanism allows for the resolution of regulatory breaches through mutual agreement, often involving remedial actions and financial penalties, without lengthy court proceedings. It supports regulatory efficiency and offers a less adversarial path to compliance while maintaining enforcement effectiveness. Suspension or referral are different enforcement actions but not part of the conciliation alternative.
Reference: CISI UAE Financial Rules and Regulations - Enforcement and Conciliation Procedures, Section
2.7.5 (2023).

NEW QUESTION # 69
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

A. When providing legal opinion with regards to legal proceedings
B. When conducting real estate transactions within the UAE
C. When providing services relating to beneficiaries of insurance policies
D. When advising on financial transactions for politically exposed persons

Answer: A

Explanation:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, lawyers, notary publics, and other legal professionals may be exempt from suspicious transaction reporting requirements when providing legal opinions related to legal proceedings. This exemption recognizes the privileged nature of legal advice and the confidentiality inherent in legal representation. However, when these professionals engage in financial or transactional activities outside the scope of legal proceedings, such as advising on financial transactions or real estate deals, they must comply with reporting obligations to prevent money laundering.
The exemption balances legal professional privilege with AML/CTF requirements.
Reference: CISI UAE Financial Rules and Regulations - AML Exemptions for Legal Professionals, Section
8.3.1 (2023).

NEW QUESTION # 70
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?

A. Four calendar days
B. Two calendar days
C. Five business days
D. Three business days

Answer: D

Explanation:
According to CISI UAE Financial Rules and Regulations, applicants for a financial activities licence must ensure that their record-keeping systems allow for recovery of electronic records from archives within a maximum period of three business days. This requirement ensures timely access to data necessary for audits, investigations, and regulatory reviews. The three-business-day timeframe balances operational feasibility with regulatory needs for responsiveness and data integrity, supporting transparency and compliance in the UAE financial sector.
Reference: CISI UAE Financial Rules and Regulations - Record-Keeping and Data Recovery Procedures, Section 3.5.10 (2023).

NEW QUESTION # 71
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UAE-Financial-Rules-and-Regulations Latest Test Format & Latest UAE-Financial-Rules-and-Regulations Learning Material

Latest CISI UAE-Financial-Rules-and-Regulations Learning Material & Reliable UAE-Financial-Rules-and-Regulations Exam Test

CISI UAE Financial Rules and Regulations Exam Sample Questions (Q66-Q71):

UAE-Financial-Rules-and-Regulations CISI UAE Financial Rules and Regulations Exam Learning Material in 3 Different Formats

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