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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q66-Q71):
NEW QUESTION # 66
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:
- A. month
- B. 12 months
- C. 3 months
- D. 6 months
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations require that firms offering investment management services deliver periodic statements to retail clients at least every 6 months under normal circumstances. This frequency strikes a balance between providing clients with timely updates on their investments and operational practicality for firms. The statements include performance, transaction details, fees, and holdings, enabling retail clients to monitor their portfolios and make informed decisions. More frequent reporting may be required in special situations, but semi-annual reporting is the standard minimum.
Reference: CISI UAE Financial Rules and Regulations - Client Reporting Requirements, Section 4.5.3 (2023).
NEW QUESTION # 67
Why would the Authority board resolve temporarily to halt trading in the shares of any company?
- A. A written complaint is made relating to a market activity
- B. It transpires that the spouse of a board member is a director of that entity
- C. It does not have the technical equipment necessary to conduct its activity electronically
- D. A threat to the proper and regular working of that market arises
Answer: D
Explanation:
The Authority board may decide to temporarily halt trading in the shares of a company if a threat to the proper and regular working of that market arises. This action is taken to ensure the integrity of the market and protect investors from any disruption caused by irregularities or unexpected events. Such threats could include issues like system failures, significant market manipulation, or events that might cause unfair trading conditions.
Halting trading is a precautionary measure that aims to stabilize the market, allowing time for the issue to be resolved before trading resumes.
Reference: CISI UAE Financial Rules and Regulations - Trading Halts and Market Integrity, Section 3.4.2 (2023).
NEW QUESTION # 68
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?
- A. When advising on financial transactions for politically exposed persons
- B. When providing services relating to beneficiaries of insurance policies
- C. When providing legal opinion with regards to legal proceedings
- D. When conducting real estate transactions within the UAE
Answer: C
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 # 69
The conciliation process allows the Authority to impose what alternative to criminal prosecution?
- A. Suspension of activities for a specified period
- B. Referral to the Central Bank
- C. Negotiated out-of-court settlement
- D. Payment of a prescribed amount of money
Answer: C
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 # 70
Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
- A. Prevention of insider trading
- B. At the request of the audit function
- C. To comply with a Chinese wall
- D. Strict privacy of client information
Answer: C
Explanation:
CISI UAE Financial Rules and Regulations recognize the concept of a Chinese wall, which permits employees in one part of a regulated business to withhold certain information from employees in other parts.
This internal information barrier is designed to prevent conflicts of interest and insider trading by restricting the flow of sensitive or non-public information between departments. By implementing Chinese walls, firms ensure compliance with legal and regulatory requirements, uphold market integrity, and protect client interests. While audit requests and privacy concerns are valid, the primary regulatory rationale for withholding information internally is to maintain effective Chinese walls.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Information Barriers, Section 3.4.10 (2023).
NEW QUESTION # 71
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