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UAE-Financial-Rules-and-Regulations Dumps With Exact Questions and Answers

Exact2pass Provides 100% Valid CISI UAE Financial Rules and Regulations Exam UAE-Financial-Rules-and-Regulations Exam dumps Questions and answers which can helps you to Pass Your Certification Exam in First Attempt.

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UAE-Financial-Rules-and-Regulations Questions and Answers

Question # 1

A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A.

Only the chairman held a tranche of the company’s shares

B.

Only the CEO’s compensation had been approved by the Authority

C.

They were supported by just three other board members

D.

They had been employed by the company during the previous year

Question # 2

Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:

A.

are to be valued subjectively

B.

may subsequently be disposed of

C.

will be held as capital assets of the fund

D.

are consistent with the fund’s investment strategy

Question # 3

Customer due diligence measures require management approval if the natural person involved is:

A.

under the age of 21

B.

registered as disabled

C.

normally resident outside the State

D.

a politically exposed person

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