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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

Section	Objectives
Financial Conduct and Compliance	- Conduct of business standards 1. Client suitability and disclosure obligations 2. Fair dealing and market integrity principles - Compliance and supervision 1. Compliance monitoring frameworks 2. Internal controls and governance
UAE Financial Regulatory Framework	- Securities and investment regulation 1. Market conduct and compliance requirements 2. Regulation of securities markets in the UAE - Federal financial regulation structure 1. Roles of central financial authorities 2. Overview of UAE financial governance bodies
Anti-Money Laundering and Financial Crime	- Financial crime prevention 1. Sanctions compliance obligations 2. Fraud prevention controls - AML/CFT requirements in the UAE 1. Suspicious transaction reporting 2. Customer due diligence (CDD) and KYC
Regulatory Ethics and Professional Standards	- Ethical standards in financial services 1. Professional integrity expectations 2. Conflicts of interest management - Regulatory accountability 1. Responsibilities of financial professionals 2. Regulatory reporting obligations

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q40-Q45):

NEW QUESTION # 40
If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?

A. Place the listing on an at-risk register
B. Levy a fine against the issuer
C. Demand an immediate recovery plan from the issuer
D. Cancel the listing

Answer: D

Explanation:
The UAE rules governing listed debt securities give the Authority power to suspend trading and, in prescribed circumstances, cancel a listing entirely. The CISI UAE Financial Rules and Regulations states that the Authority may cancel the listing of debt securities where a decision has been made to dissolve or wind up the issuer, where the suspension of the listing continues for more than six months, or where the relevant debt securities have been completely redeemed. Once a listing is cancelled or suspended, trading in the affected debt securities is prohibited. The rules also make clear that neither the Authority nor the market is responsible for compensating persons suffering losses as a consequence of the suspension or cancellation. Although regulatory intervention may involve additional disclosures or remedial action in other circumstances, the specific consequence expressly available when a debt-security listing has remained suspended for more than six months is cancellation of that listing. There is no corresponding requirement in this provision for an at-risk register, automatic fine, or immediate recovery plan. Therefore, option D is correct.

NEW QUESTION # 41
How long must licence applicants keep back-up copies of records?

A. Not less than five years
B. For as long as the firm is in existence
C. For as long as each client chooses
D. Not less than ten years

Answer: D

Explanation:
Licence applicants must establish comprehensive record-keeping procedures covering electronic and non- electronic records relating to the licensed body, technical guides and regulations, regulated activities, client transactions and data, account-opening agreements and other information connected with conducting financial activities. The CISI UAE Financial Rules and Regulations requires the mechanisms to permit retrieval of archived records within no more than three business days. More importantly for this question, the procedures must ensure that records are maintained securely for not less than ten years , with back-up copies retained for the same ten-year period and protected against damage or loss. This is distinct from the five-year retention period imposed by AML legislation for certain transaction and customer due-diligence records. The question concerns the broader record-keeping obligations of applicants for a financial-activities licence, where the ten-year requirement applies. Retention is therefore neither dependent on how long an individual client wishes records to remain available nor simply tied to the firm's entire corporate existence. The minimum specified period is ten years, making option D correct.

NEW QUESTION # 42
If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?

A. It is quadrupled
B. It is increased by 50%
C. It is doubled
D. It is tripled

Answer: C

Explanation:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, if a person convicted of a money laundering offence is a repeat offender, the minimum fine imposed is doubled compared to the first offence. This increased penalty reflects the heightened regulatory and punitive response to repeated non- compliance, emphasizing deterrence and the protection of the financial system. Repeat offenders face more severe consequences to underscore the seriousness of continued illegal activity and to promote adherence to AML laws.
Reference: CISI UAE Financial Rules and Regulations - AML Penalties and Repeat Offences, Section 8.4.6 (2023).

NEW QUESTION # 43
The role of the safe custodian in relation to exchange-traded funds (ETFs) is to:

A. Announce the net value of the unit's assets on a daily basis
B. Ensure that the transfer of ownership of units is completed
C. Implement the investment policy
D. Update sell and buy orders

Answer: B

Explanation:
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.

NEW QUESTION # 44
A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

A. AED 50 million
B. AED 30 million
C. AED 100 million
D. AED 150 million

Answer: C

Explanation:
As per the CISI UAE Financial Rules and Regulations, firms involved in custody, clearing, and recording services must have a minimum paid-up capital of AED 100 million. This capital requirement ensures that firms in this category have sufficient financial resources to manage the risks associated with their operations, which include handling clients' assets, ensuring compliance with financial regulations, and absorbing potential operational or financial losses. The higher capital threshold also enhances the stability and credibility of such firms, making them more resilient to market fluctuations and operational challenges.
Reference: CISI UAE Financial Rules and Regulations - Capital Requirements for Custody, Clearing, and Recording Firms, Section 7.3.2 (2023).

NEW QUESTION # 45
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