[2025年12月]更新のUAE-Financial-Rules-and-Regulations試験事前練習テスト試験問題と解答Investment Operations Certificate (IOC)学習ガイド [Q40-Q56]

質問 40
To qualify as a big block deal on the ADX’s E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer’s capital?

質問 41
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:

質問 42
On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?

質問 43
Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

質問 44
During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?

質問 45
If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

質問 46
If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?

質問 47
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

質問 48
A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?

質問 49
Why would the Authority board resolve temporarily to halt trading in the shares of any company?

質問 50
The minimum paid-up capital requirement for ranking and advice firms is:

質問 51
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

質問 52
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:

質問 53
In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?

質問 54
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

質問 55
Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:

質問 56
If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?