UAE-Financial-Rules-and-Regulations 試験問題を無料オンラインアクセス

In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

• A.When providing legal opinion with regards to legal proceedings
• B.When advising on financial transactions for politically exposed persons
• C.When providing services relating to beneficiaries of insurance policies
• D.When conducting real estate transactions within the UAE

An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

• A.SWOT analysis
• B.A stress testing exercise
• C.Comparison with the same sector
• D.An operational risk matrix

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

• A.Corporate planning
• B.Risk management
• C.Promotion
• D.Analysis

Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

• A.6 months
• B.month
• C.12 months
• D.3 months

The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:

• A.it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
• B.it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
• C.it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated
• D.it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision