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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q30-Q35):

NEW QUESTION # 30
The last trading day for an India Gold Quanto Futures contract is:

A. four business days prior to the 25th calendar day of the delivery month
B. two business days prior to the last business day of the delivery month
C. the 25th calendar day of the delivery month
D. one business day prior to the last business day of the delivery month

Answer: B

Explanation:
For India Gold Quanto Futures contracts, the last trading day is defined as two business days prior to the last business day of the delivery month. This rule ensures that there is adequate time for the settlement and adjustment of any open positions before the final day of trading. The two-day buffer also allows for the reconciliation of positions, making the futures market more efficient and reducing the likelihood of disputes regarding settlement. This is in line with global standards for futures contracts where the settlement and final trading days are clearly defined to protect market integrity and investor interests.
Reference: CISI UAE Financial Rules and Regulations - Futures Contract Trading, Section 8.2.4 (2023).

NEW QUESTION # 31
In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

A. Operations Manager
B. Trading Manager
C. Broker Representative
D. Compliance Officer

Answer: C

Explanation:
The Authority expects licensed firms authorised to deal in investments to include a Broker Representative within their professional staff. The Broker Representative is the role licensed and trained to execute investment transactions on behalf of clients, adhering to regulatory standards. While other roles like Trading Manager, Compliance Officer, and Operations Manager are vital for the firm's overall functioning and compliance, the Broker Representative is specifically required for dealing activities, ensuring qualified and responsible conduct in investment execution.
Reference: CISI UAE Financial Rules and Regulations - Licensing and Job Roles for Investment Dealing, Section 3.1.9 (2023).

NEW QUESTION # 32
A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?

A. The vote for the resolution is automatically carried
B. The decision is postponed until another vote can be taken
C. The chairman or their deputy is granted the casting vote
D. The vote against the resolution is automatically carried

Answer: C

Explanation:
Under the CISI UAE Financial Rules and Regulations, in the event of a tie vote by the board of the Authority, the chairman or their deputy is granted the casting vote to resolve the deadlock. This mechanism ensures decisions can be made efficiently without indefinite postponement. The casting vote provides a decisive voice to the chair in balancing the board's decisions, reflecting common governance principles in corporate and regulatory bodies. Automatic carriage or rejection of resolutions without further input is not allowed, and postponement is typically avoided to maintain regulatory effectiveness.
Reference: CISI UAE Financial Rules and Regulations - Governance and Board Procedures, Section 2.4.8 (2023).

NEW QUESTION # 33
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:

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

Answer: B

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 # 34
If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A. The issuing company must sell them within 45 days
B. These are also added to the shareholder's account
C. The issuing company must sell them within 30 days
D. They are totalled up and put in a suspense account

Answer: D

Explanation:
When bonus shares are issued, the Central Securities Depository (CSD) registers shares in whole numbers only. Any fractions of shares that result from the bonus share calculation cannot be credited to individual shareholder accounts. According to CISI UAE Financial Rules and Regulations, these fractional shares are aggregated and placed into a suspense account by the CSD. The suspense account holds these fractional shares collectively until such time as they can be properly managed, such as by being sold off and the proceeds distributed to shareholders in proportion to their holdings. This process prevents fractional shares from being credited inaccurately, ensuring operational clarity and market integrity. The issuing company is not immediately responsible for selling these fractions, but regulatory oversight governs their eventual disposal.
Reference: CISI UAE Financial Rules and Regulations - Securities Issuance and Registration, Section 5.3.6 (2023).

NEW QUESTION # 35
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UAE-Financial-Rules-and-Regulations New Guide Files & New UAE-Financial-Rules-and-Regulations Braindumps Files

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q30-Q35):

CISI UAE-Financial-Rules-and-Regulations Questions – Best Way To Clear The Exam [2025]

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