UAE-Financial-Rules-and-Regulations인증시험대비공부자료, UAE-Financial-Rules-and-Regulations유효한시험

만약 아직도CISI UAE-Financial-Rules-and-Regulations인증시험 위하여 많은 시간과 정력을 소모하며 열심히 공부하고 있습니까? 아직도 어덯게하면CISI UAE-Financial-Rules-and-Regulations인증시험을 빠르게 취득할 수 있는 방법을 못찿고 계십니까? 지금Itcertkr에서CISI UAE-Financial-Rules-and-Regulations인증시험을 안전하게 넘을 수 있도록 대책을 내드리겠습니다. 아주 신기한 효과가 있을 것입니다.

IT인증자격증은 국제적으로 승인받는 자격증이기에 많이 취득해두시면 취업이나 승진이나 이직이나 모두 편해집니다. 다른 사람이 없는 자격증을 내가 가지고 있다는것은 실력을 증명해주는 수단입니다. CISI인증 UAE-Financial-Rules-and-Regulations시험은 널리 승인받는 자격증의 시험과목입니다. CISI인증 UAE-Financial-Rules-and-Regulations덤프로CISI인증 UAE-Financial-Rules-and-Regulations시험공부를 하시면 시험패스 난이도가 낮아지고 자격증 취득율이 높이 올라갑니다.자격증을 많이 취득하여 취업이나 승진의 문을 두드려 보시면 빈틈없이 닫힌 문도 활짝 열릴것입니다.

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UAE-Financial-Rules-and-Regulations유효한 시험 - UAE-Financial-Rules-and-Regulations시험패스 가능한 인증덤프

현재CISI UAE-Financial-Rules-and-Regulations인증시험을 위하여 노력하고 있습니까? 빠르게CISI인증 UAE-Financial-Rules-and-Regulations시험자격증을 취득하고 싶으시다면 우리 Itcertkr 의 덤프를 선택하시면 됩니다,. Itcertkr를 선택함으로CISI UAE-Financial-Rules-and-Regulations인증시험패스는 꿈이 아닌 현실로 다가올 것입니다,

최신 Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations 무료샘플문제 (Q18-Q23):

질문 # 18
Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A. Approval from the firm's legal or compliance department
B. Approval from the Authority or Central Bank
C. Signing of a guarantee undertaking
D. Signing of a non-conflict disclaimer

정답：A

설명：
When a financial analyst wishes to conduct a personal transaction that is related to ongoing investment research, the approval from the firm's legal or compliance department is typically required. This additional requirement helps ensure that there is no conflict of interest and that the analyst's personal transactions do not interfere with their professional duties or the integrity of the research process. The compliance department will review the transaction to ensure it adheres to the firm's internal policies and regulatory requirements, thus safeguarding the analyst's objectivity and maintaining the credibility of the investment research.
Reference: CISI UAE Financial Rules and Regulations - Personal Transaction Requirements for Financial Analysts, Section 9.3.4 (2023).

질문 # 19
An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?

A. Three months
B. One month
C. Four months
D. Two months

정답：A

설명：
Under CISI UAE Financial Rules and Regulations, an in-kind shares evaluation report must be based on data covering a maximum period of three months prior to the evaluation date. This ensures the valuation reflects recent market conditions and financial information, maintaining accuracy and relevance. Longer periods could risk outdated or misleading valuations, affecting investor decisions and fund reporting. The three-month timeframe is aligned with international valuation standards applied to in-kind contributions to investment funds.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds, In-Kind Share Valuation Requirements, Section 6.2.8 (2023).

질문 # 20
Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?

A. A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
B. A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
C. A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
D. A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation

정답：A

설명：
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, financial institutions that violate anti-money laundering (AML) and counter-terrorism financing (CTF) laws may be subjected to administrative penalties ranging from no less than AED 50,000 and no more than AED 5,000,000 for each violation. These substantial fines underscore the UAE's commitment to stringent AML/CTF enforcement and deterrence. Administrative penalties are imposed alongside other measures such as corrective actions and possible criminal sanctions, ensuring comprehensive regulatory oversight.
Reference: CISI UAE Financial Rules and Regulations - AML Enforcement and Penalties, Section 8.5.4 (2023).

질문 # 21
Which of the following financial activities comes under the fifth category licence?

A. Dealing in securities
B. Credit rating agencies
C. Arrangement and advice
D. Dealing in investments

정답：B

설명：
The fifth category licence under UAE financial regulations pertains specifically to credit rating agencies.
These entities assess the creditworthiness of issuers of debt, including governments and corporations, and their ratings are critical for investors and markets. The fifth category licence provides the legal framework for credit rating agencies to operate within the UAE's financial sector, ensuring they meet the regulatory standards and criteria set by the Securities and Commodities Authority (SCA). This helps ensure transparency, reliability, and trust in the credit ratings issued, which are vital for maintaining market stability and investor confidence.
Reference: CISI UAE Financial Rules and Regulations - Financial Activities Licences, Section 4.2.1 (2023).

질문 # 22
If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?

A. Share providers
B. Auditors
C. Founders
D. Evaluators

정답：C

설명：
According to CISI UAE Financial Rules and Regulations, when in-kind shares are provided at fund inception and the subscription fails, the founders bear the related expenses in the absence of any special agreement. This allocation reflects the founders' responsibility in establishing and capitalizing the fund and absorbing initial setup costs, including those related to failed subscriptions. Share providers, auditors, or evaluators are not typically liable for such expenses unless contractual terms explicitly assign such responsibility. This regulatory stance encourages clarity and accountability in fund founding arrangements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Incorporation and Expense Allocation, Section 6.2.11 (2023).

질문 # 23
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Itcertkr에서 제공해드리는 CISI인증 UAE-Financial-Rules-and-Regulations덤프공부자료는CISI인증 UAE-Financial-Rules-and-Regulations실제시험문제에 초점을 맞추어 시험커버율이 거의 100%입니다, 성공으로 향하는 길에는 많은 방법과 방식이 있습니다.

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UAE-Financial-Rules-and-Regulations인증시험대비공부자료, UAE-Financial-Rules-and-Regulations유효한시험

UAE-Financial-Rules-and-Regulations유효한 시험 - UAE-Financial-Rules-and-Regulations시험패스 가능한 인증덤프

최신 Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations 무료샘플문제 (Q18-Q23):

퍼펙트한 UAE-Financial-Rules-and-Regulations인증시험대비 공부자료 덤프데모문제 다운

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