How frequently are periodic reports normally expected from an investment manager to its retail clients?

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In order to comply with the corporate governance code, a joint stock company must do which one of the following?

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A licensed broker is considering transferring its license to another broker. Which one of the following is most accurate?

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How many categories of listing are there in the UAE market?

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Which one of the following is true in relation to best practice involving inducements?

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A claimant requests arbitration in a dispute involving the trading of securities. According to the SCA regulations, which of the following is true?

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A public joint stock company fails to comply with the UAE corporate governance code. The SCA can impose all of the following penalties, EXCEPT:

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Listed debt securities differ from listed equity securities in which one of the following respects?

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What is the term for the barrier to the flow of information to help prevent conflicts of interest?

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All of the following will conclude the arbitration of a trading dispute, EXCEPT:

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In accordance with its key objective, how should SCA attempt the awareness of investment issues?

In relation to the crypto assets market, SCA has the specific power to?

The regulation covering separation controls are primary designed to?

The corporate governance guide for joint stock companies state that primary responsibility rest with?

Within the maximum time after obtaining approval for a market listing must the issuer promote the depository center with an updated copy of its register of shareholder.

West Texas intermediate Mini crude oil future contract on DGCE, how many delivery months available for trading?

In accordance with UAE accepted practice, a large investment firm has set up an arrangement which present a member of one department from passing on restricted data to another department, this arrangement normally know as?

The offence of tipping off includes revealing the fact that?

The watch list is a list of companies which have been?

At what point does a pledge of securities deposited with the clearing, settlement and depository are effective?

A bank’s customer due diligence procedure will automatically require the approval of senior management when the customer is?

Any issuer wishing to list securities on the ADX must provide the ADX with a list of its?

Under what circumstances, if any, is a trading and clearing members on DFM are permitted to sell the shares of a debtor client?

An advertisement published in the UAE on behalf of an issuer of listed sukuk in SCA authorization before publication, this was because?

In the benchmark reference gold future price is not available on the last trading day for India Gold Future on the DGCE. How will the final cash settlement price be determined?

What does the book entry system of the clearing, settlement, and depository department update?

When an appropriateness report is produced by a licensed firm, it should normally include a statement which?

What is the minimum price movement for the Mini West Texas Intermediate Light Sweet Crude Oil Future traded in DGCE?

When issuing an Islamic security, the offering document or prospectus must include which of the following data?

Within a bank, who has specific responsibility for deciding whether a suspicion transaction in relation to terrorist financing should be reported to the authorities?

Where a licensed firm prepares a suitability report, it must include evidence of the client’s?

What must brokerage companies operating on the ADX provide within 90 days of the end of the each specified fiscal period?

When a big block deal is executed through E-trading system of ADX, the amount traded will be what minimum proportion of the issuer’s capital?

What key factor dictates whether a venture capital fund has a regulatory obligation to appoint risk management officer?

When crypto assets are offered to investors, a statement must be provided which clarifies?

After what prescribed period within transactions or data updates its client with a brokerage company considered dormant?

Unless the DFM specifies a settlement period, a broker must pay the net value of securities sold on the DFM within what maximum number of days?

An employee of brokerage firm operating on the DFM is only permitted to execute a trade on their own account through the firm if this is authorized by the firm and?

When a licensed firm’s assessment indicates that a product requested by an execution only client is not appropriate, what action must the firm take?

Subscribers to shares offered by a newly incorporated public joint-stock company must be qualified investors unless the company is a bank, a finance corporation or?