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

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.subscriptions being taken at different threshold levels
• B.prices being determined at the discretion of the issuer
• C.subscriptions being taken at excessive levels from non-qualified investors
• D.prices being allowed to fluctuate during the opening offer period

How long must licence applicants keep back-up copies of records?

• A.For as long as each client chooses
• B.For as long as the firm is in existence
• C.Not less than five years
• D.Not less than ten years

Applicants for an Authority licence must supply details covering the retention of employee data for what minimum period from the date of the last update?

• A.Three years
• B.Ten years
• C.Seven years
• D.Five years

When a licensed firm refers a client complaint to another body, it must:

• A.Notify the complainant by telephone or email
• B.Advise the complainant that they have 30 days to appeal this action
• C.Suspend handling any part of the complaint that was not referred
• D.Continue handling any part of the complaint that was not referred

If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

• A.These are also added to the shareholder's account
• B.They are totalled up and put in a suspense account
• C.The issuing company must sell them within 45 days
• D.The issuing company must sell them within 30 days