UAE-Financial-Rules-and-Regulations 무료 덤프문제 온라인 액세스

Where a manager employed by a legal person is found to have committed a money laundering crime for its account, the minimum fine that can be imposed is:

• A.A fixed amount of AED 500,000
• B.A fixed amount of AED 250,000
• C.1% of annual turnover
• D.2% of annual turnover

In order to deal in securities, what minimum level of paid-up capital must a firm have?

• A.AED 30 million
• B.AED 50 million
• C.AED 20 million
• D.AED 10 million

When a firm performs internal reconciliations of the financial instruments held for each client, what must it do if the reconciliation shows a discrepancy?

• A.Rectify the situation within 7 days from the date that the reconciliation is performed
• B.Close the client's account by close of business on the same day
• C.Make good any shortfall for which it is responsible
• D.Inform the regulator within 30 days

What additional provision is made by the market in relation to trading in shares of public joint-stock companies that are in the second category of listing?

• A.They will appear on a separate dedicated screen
• B.They can be bought and sold only by qualified investors
• C.Deals can take place only on specified dates
• D.Deals are subject to an additional transaction levy

Why would a transaction in securities listed on the market be declared null and void?

• A.Trading transactions in securities and commodities were not monitored on a daily basis
• B.There was a failure to present reports and data to the Authority and issue the necessary press releases
• C.A member of the Board was convicted of an offence of dishonour
• D.It was not recorded according to the provisions and the regulations and resolutions issued