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NEW QUESTION # 99
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
Answer: B
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 # 100
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?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations specify that public real estate investment funds are mandated to distribute a minimum of 80% of their achieved net profits annually to unit holders. This distribution requirement ensures that investors receive regular income from the fund's operations, promoting investor confidence and fairness. It also aligns with the principle of pass-through taxation and transparency in fund performance. The regulation balances income distribution with fund sustainability, allowing the retention of a portion of profits for operational needs and growth.
Reference: CISI UAE Financial Rules and Regulations - Real Estate Investment Funds, Profit Distribution Requirements, Section 6.7.2 (2023).
NEW QUESTION # 101
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
Answer: C
Explanation:
On the Dubai Financial Market (DFM), a good-till-cancelled (GTC) order remains active and available for execution until explicitly cancelled by the investor who placed it. This means the investor maintains control over the order's lifespan, allowing it to persist through trading sessions unless they choose to withdraw it.
Brokers or clearing members do not have authority to unilaterally cancel GTC orders, ensuring investor autonomy. The market committee also does not intervene in the cancellation of individual orders under normal circumstances. This design supports investor flexibility and orderly market functioning.
Reference: CISI UAE Financial Rules and Regulations - Trading Rules and Order Management, Section
7.3.2 (2023).
NEW QUESTION # 102
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
Answer: D
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 # 103
Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?
Answer: B
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 # 104
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