[Q20-Q35] Download Online VALID UAE-Financial-Rules-and-Regulations Exam Dumps File Instantly [Mar 28, 2026]

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Download Online VALID UAE-Financial-Rules-and-Regulations Exam Dumps File Instantly[Mar 28, 2026]

UAE-Financial-Rules-and-Regulations Exam Dumps For Certification Exam Preparation

NEW QUESTION 20
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?

It failed to seek permission from the Authority

An Authority penalty was pending

A 30-day notice was not provided

The majority of the board was not present

NEW QUESTION 21
If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?

It is increased by 50%

It is doubled

It is tripled

It is quadrupled

NEW QUESTION 22
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

Analysis

Promotion

Corporate planning

Risk management

NEW QUESTION 23
The role of the authorised agent of the exchange-traded fund (ETF) is to:

announce the net value of the unit’s assets on a daily basis

regularly announce the indicative value of the net value of assets

update sell and buy orders

ensure that the transfer of ownership of units is completed

NEW QUESTION 24
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?

Impose a financial fine of not more than AED 100,000

Impose a financial fine of not less than AED 100,000

Suspend the licensed body for a period of two years

Suspend any financial activity practised during an investigation

NEW QUESTION 25
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?

Three years

Five years

Seven years

Ten years

NEW QUESTION 26
During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?

The Chair and Board of Directors should notify the Authority and tender their resignations

Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days

Call an emergency Board meeting and thereafter notify the concerned entity at the Authority

Notify the concerned entity at the Authority or any of the capital market institutions immediately

NEW QUESTION 27
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

month

3 months

6 months

12 months

NEW QUESTION 28
If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

rounded to one decimal place

rounded to two decimal places

rounded up to the nearest price tick

rounded down to the nearest price tick

NEW QUESTION 29
The statement in a suitability report giving reasons for the recommendation must also indicate:

why the next best product or service was disregarded

the client’s ability to bear any risks and losses

whether or not the client has accepted this guidance

the extent to which the author is qualified to make this judgement

NEW QUESTION 30
Which of the following financial activities comes under the fifth category licence?

Arrangement and advice

Credit rating agencies

Dealing in securities

Dealing in investments

NEW QUESTION 31
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

manage conflicts of interest

identify potential money laundering

reduce the risk to investors

deal with succession planning

NEW QUESTION 32
To qualify as a big block deal on the ADX’s E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer’s capital?

0.5%

1.0%

2.0%

2.5%

NEW QUESTION 33
DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:

are on full-time or substantial part-time contracts

are new to the company or the industry

are employed to deal with clients or on their behalf

are employed to operate an electronic trading or clearing system

NEW QUESTION 34
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

always assume the communication is intended for a retail client

ensure all monetary examples are calculated to at least two decimal places

make the promotion available simultaneously in printed form and online

give a balanced impression of both short and long term prospects

NEW QUESTION 35
If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?

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