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

1. If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

A) rounded down to the nearest price tick
B) rounded up to the nearest price tick
C) rounded to two decimal places
D) rounded to one decimal place

2. Which category of firm is required to provide accounts using a 'Unified Centralised Back Office System'?

A) Category 4 - Credit rating agencies
B) Category 3 - Custody, clearing and recording
C) Category 1 - Dealing in securities
D) Category 2 - Dealing in investments

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

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

A) 6 months
B) month
C) 3 months
D) 12 months

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

A) protecting the reporting employee
B) disciplining staff proven to have breached rules
C) ensuring all staff have a named reporting contact
D) escalating any reports to board level

問題與答案：