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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q72-Q77):

NEW QUESTION # 72
When establishing a local investment fund, how much are the founders required to subscribe?

A. At least 1 million dirhams
B. At least 5 million dirhams
C. At least 10 million dirhams
D. At least 20 million dirhams

Answer: C

Explanation:
When establishing a local investment fund in the UAE, the founders are required to subscribe a minimum amount to demonstrate commitment and to comply with the legal and financial requirements set by the Securities and Commodities Authority (SCA). The minimum required subscription is at least 10 million dirhams. This ensures that the fund has a solid financial base, contributing to its credibility and ability to cover initial operational and management expenses. The founders' subscription also serves to align their interests with those of potential investors and provides an assurance of the fund's viability and long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Fund Formation Requirements, Section 6.1.2 (2023).

NEW QUESTION # 73
The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?

A. 10%
B. 1%
C. 2%
D. 5%

Answer: D

Explanation:
For Silver Futures contracts on the Dubai Gold & Commodities Exchange (DGEX), the contract size is 1,000 troy ounces of refined silver, with a prescribed margin of 5%. The margin requirement ensures that traders have sufficient collateral to cover potential price fluctuations in the market. The 5% margin provides a balance between allowing for liquidity in the market and managing the risks associated with futures trading.
This is a standard margin level designed to protect both market participants and the exchange from extreme volatility or defaults.
Reference: CISI UAE Financial Rules and Regulations - Silver Futures Trading on DGEX, Section 7.1.3 (2023).

NEW QUESTION # 74
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A. Deposit not less than 90% of the public subscription proceeds within one business day of receipt
B. Deposit not less than 100% of the public subscription proceeds within one business day of receipt
C. Deposit not less than 100% of the public subscription proceeds within two business days of receipt
D. Deposit not less than 90% of the public subscription proceeds within two business days of receipt

Answer: B

Explanation:
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection. This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference:CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).

NEW QUESTION # 75
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

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

Answer: C

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 # 76
If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?

A. Investigate and correct it as soon as possible
B. Immediately inform the regulator verbally and follow this up in writing
C. Immediately suspend operations with the third party
D. Close the client's account by close of business on the same day

Answer: A

Explanation:
If a discrepancy is identified during an external reconciliation process, the firm is required to investigate and correct it as soon as possible. The CISI UAE Financial Rules and Regulations emphasize that discrepancies, whether in financial data or operational procedures, must be thoroughly examined to determine the root cause and rectified promptly. Immediate corrective action helps to ensure that financial statements and other reports remain accurate and reliable, preventing any further errors or compliance issues. While it may be necessary to inform the regulator or suspend operations in extreme cases, the first priority is to address the discrepancy through investigation and correction.
Reference: CISI UAE Financial Rules and Regulations - Reconciliation and Error Resolution, Section 8.1.4 (2023).

NEW QUESTION # 77
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