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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 2: Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Topic 3: Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Topic 4: Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Topic 5: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Topic 6: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
>> CISI UAE-Financial-Rules-and-Regulations Zertifikatsfragen <<
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12. Frage
The role of the safe custodian in relation to exchange-traded funds (ETFs) is to:
Antwort: D
Begründung:
The CISI UAE Financial Rules and Regulations separates the responsibilities of the different entities participating in an exchange-traded fund. The management company or investment manager implements and monitors the investment policy and oversees ETF performance. The administrative services company calculates and announces the daily net asset value and regularly communicates the indicative net asset value.
The authorised agent supports liquidity and performs the order-related functions associated with creation and redemption. The safe custodian , however, has custody and settlement responsibilities. It must ensure that the orders and documentation relating to exchanges between ETF units and the components of the tracked index are processed through the administrative services company and must ensure that transfers of ownership of ETF units are completed . Transfers to or from the safe custodian must be completed before redemption, cancellation or issuance of ETF units. Therefore, daily NAV announcements belong to the administrative services company, implementation of investment policy belongs principally to management, and order updating is associated with the authorised agent. Option D correctly identifies the safe custodian's role.
13. Frage
The offence of tipping off leads to:
Antwort: D
Begründung:
Within the CISI UAE Financial Rules and Regulations AML syllabus, tipping off occurs when a person notifies or warns another person about suspicions relating to money laundering or reveals that a transaction is being reviewed or investigated because of such suspicions. Disclosure of this information can undermine an investigation by allowing the subject to conceal assets, destroy evidence, alter transaction patterns or otherwise obstruct enforcement action. The CISI study guide states that the offence of tipping off is punishable by imprisonment for no less than six months and/or a financial penalty of no less than AED
100,000 and no more than AED 500,000. This combination corresponds exactly to option D. The considerably longer imprisonment periods or higher financial penalties appearing in the other alternatives relate neither to the specific CISI tipping-off provision nor to the sanction tested by this question. Staff dealing with suspicious transactions must therefore preserve strict confidentiality concerning reports, investigations and related information while ensuring that suspicions are escalated through the prescribed AML reporting process.
Comparison basis: List A and List B .
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14. Frage
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
Antwort: B
Begründung:
Sponsors of companies applying to become Special Purpose Acquisition Companies (SPACs) in the UAE must prepare detailed proposals that specifically address the management of conflicts of interest. This is mandated under CISI UAE Financial Rules and Regulations to ensure that the SPAC's activities remain transparent and investors' interests are protected. Conflicts of interest may arise from the sponsors' dual roles or relationships with target companies or investors. Addressing these conflicts proactively through proposals and policies supports integrity and market confidence. While risk reduction and anti-money laundering are critical, the regulations explicitly highlight conflict management as a core area for SPAC sponsors.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, SPAC Sponsorship Requirements, Section 6.3.4 (2023).
15. Frage
The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
Antwort: B
Begründung:
The CISI UAE Financial Rules and Regulations require that the whistleblowing policy submitted by licence applicants incorporates a clear mechanism for protecting the reporting employee. This protection includes confidentiality safeguards, protection against retaliation, and secure channels for raising concerns. Ensuring the safety and anonymity of whistleblowers is fundamental to encouraging the reporting of unethical or illegal conduct, thereby enhancing regulatory compliance and corporate governance. Other aspects such as escalation procedures and disciplinary measures are important but secondary; the central pillar of effective whistleblowing policy is the protection of the individual who reports wrongdoing.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Whistleblowing, Section 3.4.2 (2023).
16. Frage
Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:
Antwort: A
Begründung:
Under the CISI UAE Financial Rules and Regulations, brokers are required to submit regular statements of account to clients. These statements must include the client's balance of securities and cash, as well as details of all transactions executed. The statement must be submitted on a monthly basis, unless a different arrangement is specifically agreed upon between the broker and the client. This ensures transparency, allowing clients to stay informed about their investment portfolios and the status of their accounts. Regular monthly reporting is a fundamental requirement for protecting client interests and ensuring that financial institutions operate with the highest standards of accountability and client service.
Reference: CISI UAE Financial Rules and Regulations - Client Account Statements, Section 4.5.2 (2023).
17. Frage
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