[Q59-Q83] Exam UAE-Financial-Rules-and-Regulations Realistic Dumps Verified Questions Free [Mar 08, 2026]

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Exam UAE-Financial-Rules-and-Regulations Realistic Dumps Verified Questions Free [Mar 08, 2026]

Valid UAE-Financial-Rules-and-Regulations Dumps for Helping Passing CISI Exam!

NEW QUESTION 59
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?

No correction will be made

The provider will correct it

It will be re-determined

Liability is apportioned

NEW QUESTION 60
The last trading day for an India Gold Quanto Futures contract is:

one business day prior to the last business day of the delivery month

two business days prior to the last business day of the delivery month

the 25th calendar day of the delivery month

four business days prior to the 25th calendar day of the delivery month

NEW QUESTION 61
The contract size for an MSCI India Index Futures (INR) contract is:

5 index points x price

20 index points x price

25 index points x price

50 index points x price

NEW QUESTION 62
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

reduce the risk to investors

deal with succession planning

manage conflicts of interest

identify potential money laundering

NEW QUESTION 63
The approved job for conducting securities dealing is:

Trading Manager

Operations Manager

Broker Representative

Category Manager

NEW QUESTION 64
Which of the following features of a previous order can be changed with the order remaining valid?

Share category

Market

Order type

Volume

NEW QUESTION 65
A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

AED 30 million

AED 50 million

AED 100 million

AED 150 million

NEW QUESTION 66
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

Companies in the first category

Companies in the second category

All private companies which have declared losses in the last 12 months

All public companies which have declared losses in the last 12 months

NEW QUESTION 67
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

accepting new orders from the client

providing investment advice to the client

paying any cash to the client

selling securities on the client’s behalf

NEW QUESTION 68
Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

Only if the client proactively requests one

Only if no recommendations are made

Only if it is licensed to do so

Under no circumstances

NEW QUESTION 69
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?

Client agreements and selling orders only

Selling orders and accounts only

Accounts and client agreements only

Client agreements, selling orders and accounts

NEW QUESTION 70
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

Analysis

Promotion

Corporate planning

Risk management

NEW QUESTION 71
Which category of firm is required to provide accounts using a ‘Unified Centralised Back Office System’?

Category 1 – Dealing in securities

Category 2 – Dealing in investments

Category 3 – Custody, clearing and recording

Category 4 – Credit rating agencies

NEW QUESTION 72
During a trading session, if an order is not fully executed, then:

the order will be dealt with at the next trading session

the transaction is executed at the price set on the other side of the transaction

the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price

the remaining unexecuted volume stays on the trading system, at the last executed price

NEW QUESTION 73
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

month

3 months

6 months

12 months

NEW QUESTION 74
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?

50%

60%

70%

80%

NEW QUESTION 75
The statement in a suitability report giving reasons for the recommendation must also indicate:

why the next best product or service was disregarded

the client’s ability to bear any risks and losses

whether or not the client has accepted this guidance

the extent to which the author is qualified to make this judgement

NEW QUESTION 76
Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

10%

25%

51%

NEW QUESTION 77
A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?

The vote for the resolution is automatically carried

The vote against the resolution is automatically carried

The chairman or their deputy is granted the casting vote

The decision is postponed until another vote can be taken

NEW QUESTION 78
What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?

AED 150,000

AED 200,000

AED 250,000

AED 300,000

NEW QUESTION 79
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?

It failed to seek permission from the Authority

An Authority penalty was pending

A 30-day notice was not provided

The majority of the board was not present

NEW QUESTION 80
When establishing a local investment fund, how much are the founders required to subscribe?

At least 1 million dirhams

At least 5 million dirhams

At least 10 million dirhams

At least 20 million dirhams

NEW QUESTION 81
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:

the investor

the broker

the clearing member

the market committee

NEW QUESTION 82
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:

5 working days

10 working days

20 working days

30 working days

NEW QUESTION 83
Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

Routinely on a monthly basis

Routinely on a quarterly basis

Only if a complaint is made

Only if requested by them to do so