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Exam UAE-Financial-Rules-and-Regulations Topic 1 Question 80 Discussion

Actual exam question for CISI's UAE-Financial-Rules-and-Regulations exam
Question #: 80
Topic #: 1
In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

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According to the CISI UAE Financial Rules and Regulations under Client Protection provisions, when a client buys and sells securities within the same trading session (day trading), the client must maintain sufficient credit to cover the value of purchase in their cash account at the time of the transaction. This rule ensures that clients have the necessary funds to settle their purchase obligations promptly, reducing settlement risk and maintaining market stability. Credit to cover sales is not required since sales generate funds rather than consume them. This provision supports orderly trading and financial discipline among market participants by preventing unsettled trades and possible defaults.
Reference: CISI UAE Financial Rules and Regulations - Client Protection, Trading and Settlement Rules, Section 4.3.2 (2023).

by Raymond at Jan 14, 2026, 11:37 AM

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Here are all the actual test exam dumps for IT exams. Most people prepare for the actual exams with our test dumps to pass their exams. So it's critical to choose and actual test pdf to succeed.

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