An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?
A. The obligor failed to also notify the market
B. The new director had less than 5 years' experience
C. The new director held a foreign passport
D. The obligor failed to give 14 days' notice
正解:A
解説: (Pass4Test メンバーにのみ表示されます)
質問 2:
Membership of an Authority regulated market is obligatory for which of the following entities?
A. Listed joint-stock companies, licensed brokers and any other type of business entity
B. Listed joint-stock companies, licensed brokers and other listed entities
C. Listed joint-stock companies and licensed brokers
D. Licensed brokers
正解:B
解説: (Pass4Test メンバーにのみ表示されます)
質問 3:
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
A. prices being determined at the discretion of the issuer
B. subscriptions being taken at excessive levels from non-qualified investors
C. subscriptions being taken at different threshold levels
D. prices being allowed to fluctuate during the opening offer period
正解:B
解説: (Pass4Test メンバーにのみ表示されます)
質問 4:
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?
A. The majority of the board was not present
B. An Authority penalty was pending
C. It failed to seek permission from the Authority
D. A 30-day notice was not provided
正解:C
解説: (Pass4Test メンバーにのみ表示されます)
質問 5:
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
A. Ten years
B. Five years
C. Three years
D. Seven years
正解:B
解説: (Pass4Test メンバーにのみ表示されます)
質問 6:
A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?
A. 75%
B. 50%
C. 80%
D. 100%
正解:C
解説: (Pass4Test メンバーにのみ表示されます)
質問 7:
When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?
A. World Bank
B. United Nations Office on Drugs and Crime
C. Bank for International Settlements
D. Financial Action Task Force
正解:D
解説: (Pass4Test メンバーにのみ表示されます)
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Ajima -
過去問で1週間で合格できた。UAE-Financial-Rules-and-Regulations初心者ですが三日これを使って合格ってすごくない?!本当にありがとうございます