최신 Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations 무료샘플문제:
1. What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
A) Ten years
B) Seven years
C) Five years
D) Three years
2. Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:
A) 6 months
B) month
C) 12 months
D) 3 months
3. In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?
A) When advising on financial transactions for politically exposed persons
B) When providing services relating to beneficiaries of insurance policies
C) When providing legal opinion with regards to legal proceedings
D) When conducting real estate transactions within the UAE
4. The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?
A) The majority of the board was not present
B) It failed to seek permission from the Authority
C) A 30-day notice was not provided
D) An Authority penalty was pending
5. The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:
A) a company incorporated under Shariah law
B) an exchange licensed by a market in the UAE
C) an exchange licensed by the Authority in the UAE
D) a sophisticated trader or a qualified investor
질문과 대답:
| 질문 # 1 정답: C | 질문 # 2 정답: A | 질문 # 3 정답: C | 질문 # 4 정답: B | 질문 # 5 정답: C |
1610 개 고객 리뷰
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