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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q77-Q82):

NEW QUESTION # 77
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:

A. has been designated a company of State importance
B. is formally classed as an insurance company
C. issued shares in a public offer in the last six months
D. was incorporated in the last three years

Answer: C

Explanation:
According to CISI UAE Financial Rules and Regulations, a public joint-stock company is automatically barred from executing a buyback transaction if it issued shares in a public offer in the last six months. This regulatory restriction is designed to prevent market manipulation and protect shareholders' interests by ensuring sufficient market stability following a new share issuance. Buybacks shortly after public offerings could distort share prices or unfairly affect market liquidity. Other conditions like being an insurance company or state-designated firm do not automatically preclude buybacks under these regulations. This rule aligns with international corporate governance best practices governing share repurchases.
Reference: CISI UAE Financial Rules and Regulations - Share Buyback Rules, Section 5.4.7 (2023).

NEW QUESTION # 78
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A. All private companies which have declared losses in the last 12 months
B. All public companies which have declared losses in the last 12 months
C. Companies in the second category
D. Companies in the first category

Answer: B

Explanation:
Per CISI UAE Financial Rules and Regulations, the watch list monitored by the Authority's committee consists of all public companies that have declared losses in the last 12 months. These companies are subject to closer regulatory scrutiny to protect investors and maintain market stability. Monitoring focuses on financial health indicators that might signal increased risk, ensuring timely intervention if necessary. Private companies are generally not included in this watch list, which targets publicly traded entities with broader investor impact.
Reference: CISI UAE Financial Rules and Regulations - Market Surveillance and Watch List, Section 5.6.4 (2023).

NEW QUESTION # 79
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?

A. 50%
B. 80%
C. 70%
D. 60%

Answer: C

Explanation:
According to CISI UAE Financial Rules and Regulations, brokerage companies must use 70% of the market value of securities they own to increase the value of their guarantee. This guarantee acts as a financial safeguard to ensure the firm's stability and protect clients and counterparties against default risk. The 70% proportion strikes a balance between maximizing the leverage of owned securities and maintaining prudent risk management. It reflects the regulatory emphasis on requiring sufficient collateral and guarantees to support brokerage operations, maintaining market confidence and financial soundness within the UAE capital markets.
Reference: CISI UAE Financial Rules and Regulations - Brokerage Firms Guarantees, Section 3.3.9 (2023).

NEW QUESTION # 80
Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

A. Only if the client proactively requests one
B. Under no circumstances
C. Only if no recommendations are made
D. Only if it is licensed to do so

Answer: D

Explanation:
CISI UAE Financial Rules and Regulations clearly state that an introducer may only provide financial analysis if it is licensed to do so. Licensing ensures that the introducer has the required qualifications, governance, and regulatory oversight to deliver accurate and compliant financial analyses. Providing financial analysis without licensing can mislead investors and expose them to unsuitable advice. Therefore, introducers without proper licensing are prohibited from offering such analyses, irrespective of client requests or absence of recommendations, preserving market integrity and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Licensing of Financial Analysis Providers, Section 4.4.5 (2023).

NEW QUESTION # 81
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

A. always assume the communication is intended for a retail client
B. make the promotion available simultaneously in printed form and online
C. give a balanced impression of both short and long term prospects
D. ensure all monetary examples are calculated to at least two decimal places

Answer: C

Explanation:
For a financial promotion that quotes yield figures to comply with the clear, fair, and not misleading rule, it must give a balanced impression of both short and long term prospects. This ensures that the promotion does not mislead the client by focusing too heavily on short-term returns or exaggerating long-term performance. A balanced presentation of both short and long-term outcomes is essential for providing a full, accurate picture of the investment, allowing clients to make informed decisions. This approach aligns with the principles of transparency and fairness that underpin financial regulation.
Reference: CISI UAE Financial Rules and Regulations - Financial Promotions and Yield Quotes, Section
5.2.3 (2023).

NEW QUESTION # 82
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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q77-Q82):

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