Updated Feb 07, 2026 Verified UAE-Financial-Rules-and-Regulations dumps Q&As – 100% Pass [Q12-Q36]

QUESTION 12
Which category of firm is required to provide accounts using a ‘Unified Centralised Back Office System’?

QUESTION 13
A real estate investment fund may borrow no more than what percentage of its total assets value?

QUESTION 14
The effectiveness of a financial institution’s internal policies, controls and procedures to combat money laundering must be tested by:

QUESTION 15
An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?

QUESTION 16
When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

QUESTION 17
An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?

QUESTION 18
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?

QUESTION 19
Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

QUESTION 20
The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:

QUESTION 21
The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

QUESTION 22
On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?

QUESTION 23
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

QUESTION 24
When promoting private funds, related materials must:

QUESTION 25
Membership of an Authority regulated market is obligatory for which of the following entities?

QUESTION 26
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

QUESTION 27
Which of the following features of a previous order can be changed with the order remaining valid?

QUESTION 28
If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

QUESTION 29
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:

QUESTION 30
A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:

QUESTION 31
Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

QUESTION 32
In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

QUESTION 33
The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?

QUESTION 34
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

QUESTION 35
The contract size for an MSCI India Index Futures (INR) contract is:

QUESTION 36
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every: