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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Dubai Financial Market (DFM) | 11% | |
| Topic 2: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 3: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 |
| Topic 4: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 5: Trading | 11% | |
| Topic 6: Client Protection | 10% | |
| Topic 7: Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Topic 8: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
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NEW QUESTION # 16
An Authority resolution was passed by the Chairman alone. Why was this possible?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations explains the normal decision-making process of the Authority's Board and the specific exception permitting the Chairman to act independently. Ordinarily, a valid Board meeting requires attendance by the prescribed majority, including the Chairman or deputy, and resolutions are determined by a majority of votes. The Chairman has a casting vote where voting is equal, but this does not give the Chairman a general power to make unilateral decisions. An exception arises where circumstances require a quick decision and it is impossible to convene a Board meeting . In that situation, the Chairman may take the necessary decision personally. The decision is not final in isolation: it must be presented to the Board at the earliest opportunity, when the Board may affirm, amend or revoke it. Merely being unable to assemble every Board member is insufficient because unanimity is not normally required.
Therefore, the combination of urgency, exceptional circumstances and inability to hold a Board meeting makes option C correct.
NEW QUESTION # 17
A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
Answer: C
Explanation:
The UAE regulatory framework establishes specific advisers and service providers that a Special Purpose Acquisition Company must appoint when conducting a public offering. According to the CISI UAE Financial Rules and Regulations, the SPAC must appoint a listing consultant and a financial consultant , together with one or more entities responsible for receiving public subscriptions. The listing consultant and other parties to the subscription process are also subject to due-diligence responsibilities. A risk consultant is not identified as one of the mandatory appointments for making the SPAC's shares available through the prescribed public offering process. This distinction is important because a SPAC is a specialised acquisition vehicle formed to raise capital and subsequently acquire or merge with a target entity; the listing and financial consultants support compliance with offering, listing, valuation and transaction requirements associated with that process. Although risk-management considerations remain relevant throughout the SPAC lifecycle, they do not create a requirement to appoint a separate risk consultant under the provision tested by this question.
Accordingly, option B is correct.
NEW QUESTION # 18
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For corporate persons, this should include:
Answer: C
Explanation:
The Dubai Financial Market Professional Code of Conduct requires brokerage firms to take reasonable steps to establish the identity, contact information, financial circumstances and investment objectives of their clients. The information required varies according to the type of client. For a corporate person , the DFM rules require details including the company's or entity's name and nationality, its commercial register number and commercial licence , the place and date of issue of those documents, a copy of its memorandum of association, headquarters contact information and details of the individual authorised to manage the account. Option C therefore identifies information specifically required for corporate clients. Option B- profession, exact address, PO Box and telephone number-is associated with natural persons. Option A relates to securities portfolios managed by a licensed investment manager. Option D-nature of the entity, legal form, type and capital-is specifically identified for investment funds. The classifications are deliberately distinct so brokerage firms obtain appropriate identification evidence for each client structure.
Accordingly, for a corporate person, the correct answer is option C.
NEW QUESTION # 19
Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
Answer: B
Explanation:
Final approval of a local investment fund depends upon completion of prescribed post-subscription procedures. According to the CISI UAE Financial Rules and Regulations, the fund manager-and, in the case of a self-managed fund, its founders-must submit specified documentation to the Authority within no more than 30 days from the date on which subscriptions close . One of the principal documents is a certificate from the local fund's auditor confirming that subscription to the fund's capital has been completed. For a family fund, additional evidence may also be required to establish that subscribers satisfy the relevant family and beneficial-ownership requirements. Failure to submit the required documents within the prescribed period can cause the establishment procedures to be treated as non-existent and require subscribed amounts to be returned. Once the required auditor's certificate and supporting documentation have been properly submitted, the Authority proceeds with the establishment and licensing process. The relevant deadline is therefore 30 days, not five, ten or fifteen days. Accordingly, option D is correct.
NEW QUESTION # 20
A real estate investment fund may borrow no more than what percentage of its total assets value?
Answer: A
Explanation:
According to the CISI UAE Financial Rules and Regulations, real estate investment funds are subject to borrowing limits to ensure financial stability and prevent excessive leverage. A real estate investment fund may borrow no more than 50% of its total assets value. This limit helps mitigate the risks associated with high levels of debt and ensures that the fund remains adequately capitalized to handle fluctuations in the real estate market. By restricting the borrowing capacity, the regulations aim to protect investors and ensure the fund's long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Borrowing Limits for Real Estate Investment Funds, Section 6.1.5 (2023).
NEW QUESTION # 21
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