UAE-Financial-Rules-and-Regulations試験無料問題集（102題）「CISI UAE Financial Rules and Regulations 認定」

出題：1

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

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

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

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

D. the 25th calendar day of the delivery month

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：2

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 impact assessment gives acceptable results

B. the circumstances are considered to be exceptional

C. an alteration fee is paid at the same time

D. the correction is within a 5% error margin

正解：B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：3

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 court case against the licensed body is in progress

C. A takeover bid for the licensed body has been launched

D. An emergency has been notified to the Authority

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：4

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. Five business days

C. Three business days

D. Two calendar days

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：5

When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

A. equality

B. prudence

C. governance

D. confidentiality

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：6

To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?

A. 0.5%

B. 2.0%

C. 1.0%

D. 2.5%

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：7

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

A. 6 months

B. 3 months

C. month

D. 12 months

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

UAE-Financial-Rules-and-Regulations試験無料問題集「CISI UAE Financial Rules and Regulations 認定」