最新なCISI UAE-Financial-Rules-and-Regulations問題集（188題）、真実試験の問題を全部にカバー！

質問 1：
When a firm applies for a licence, it is only necessary to provide an exit strategy plan covering contract termination with an outsourced party if the firm intends to:
A. Enter into a contract which is not legally enforceable
B. Use a service based outside the State
C. Enter into a contract for five or more years
D. Use cloud computing services
正解：D
解説: (Pass4Test メンバーにのみ表示されます)

質問 2：
If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?
A. Two
B. Four
C. Three
D. Five
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 3：
A key reason why the regulator applies financial promotion rules is to ensure that:
A. the customers are treated fairly
B. the available product range is maximised
C. the impact of operational risk is avoided
D. the market is kept competitive
正解：A

質問 4：
Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?
A. 3%
B. 10%
C. 25%
D. 51%
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 5：
What does the Authority usually do before deciding to delist a company's shares?
A. Issue an improvement notice of 30 days
B. Consult with the relevant market
C. Issue a fine for payment within 30 days
D. Consult with the relevant firm
正解：A
解説: (Pass4Test メンバーにのみ表示されます)

質問 6：
Why would a transaction in securities listed on the market be declared null and void?
A. There was a failure to present reports and data to the Authority and issue the necessary press releases
B. A member of the Board was convicted of an offence of dishonour
C. It was not recorded according to the provisions and the regulations and resolutions issued
D. Trading transactions in securities and commodities were not monitored on a daily basis
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 7：
A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:
A. AED 30 million
B. AED 50 million
C. AED 100 million
D. AED 150 million
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 8：
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. The issuing company must sell them within 30 days
C. They are totalled up and put in a suspense account
D. These are also added to the shareholder's account
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 9：
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
A. employee regulation
B. technical system
C. administration regulation
D. governance regulation
正解：D
解説: (Pass4Test メンバーにのみ表示されます)