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Exam Code: UAE-Financial-Rules-and-Regulations
Exam Name: CISI UAE Financial Rules and Regulations Exam
Version: V22.75
Q & A: 580 Questions and Answers
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NEW QUESTION: 1
Which of the following is an example of commingling?
A. In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
B. All of the above are examples of commingling.
C. Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
D. Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
Answer: D
Explanation:
When Sly has his client pay for a stock purchase by making the check out to Sly himself, he
has engaged in the prohibited practice of commingling. Ms. Fox is also engaged in a prohibited practice,
but she is engaged in making unauthorized transactions. Mr. Hawk is doing nothing wrong. It is typical for
clients to leave securities on deposit with their broker-dealers in what is called "street name." This makes
it easier for the client to sell the securities later on since he physically will not have to deliver the securities
to the broker, for one thing.
NEW QUESTION: 2
You administer a SQL Server 2008 Analysis Services (SSAS) instancE.You plan to troubleshoot query
performance by using a Dynamic Management View (DMV).
You need to identify query sessions that execute a query for more than 30,000 ms.
Which DMV should you use?
A. Discover_Traces
B. Discover_Sessions
C. Discover_Commands
D. Discover_Connections
Answer: C
NEW QUESTION: 3
Which three integration methods can be used when connecting Modular Messaging for Microsoft Exchange to a Message Networking server using Octel Analog Networking? (Choose three.)
A. Analog
B. Wireless
C. T-1/E-1 Q.Sig
D. DSE
E. H.323 Q.Sig
Answer: A,C,D
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