CISI Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations

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CISI UAE-Financial-Rules-and-Regulations 考試大綱主題:

最新的 Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations 免費考試真題：

1. Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A) Deposit not less than 100% of the public subscription proceeds within two business days of receipt
B) Deposit not less than 100% of the public subscription proceeds within one business day of receipt
C) Deposit not less than 90% of the public subscription proceeds within two business days of receipt
D) Deposit not less than 90% of the public subscription proceeds within one business day of receipt

2. Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?

A) Conduct a prescribed risk / benefit analysis
B) Examine the latest Interpol watch list
C) Seek Authority approval to proceed
D) Attempt to establish the source of the funds

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

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

4. In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

A) credit to cover the value of sale
B) securities to the value of purchase
C) credit to cover the value of any losses
D) credit to cover the value of purchase

5. A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A) Only the chairman held a tranche of the company's shares
B) They were supported by just three other board members
C) They had been employed by the company during the previous year
D) Only the CEO's compensation had been approved by the Authority

問題與答案：