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| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
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NEW QUESTION # 60
The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:
Answer: D
Explanation:
According to CISI UAE Financial Rules and Regulations, the Securities and Commodities Authority (SCA) grants licences to operate crypto fundraising platforms only to legal persons that are exchanges licensed by the Authority within the UAE. This ensures that the entity has the appropriate regulatory oversight, infrastructure, and governance aligned with UAE financial laws. Sophisticated traders or qualified investors, as well as companies incorporated under Shariah law, do not meet the legal entity criteria for such licencing.
The requirement guarantees that fundraising platforms operate within a controlled and transparent environment, protecting investors and maintaining market integrity.
Reference: CISI UAE Financial Rules and Regulations - Crypto Asset Platforms Licensing, Section 7.1.5 (2023).
NEW QUESTION # 61
The minimum paid-up capital requirement for credit rating agencies is:
Answer: B
Explanation:
Under the licensing framework covered by the CISI UAE Financial Rules and Regulations, credit rating agencies fall within the fourth licence category . The minimum paid-up capital requirement for this category is AED 5 million . This is considerably lower than the capital requirements applying to several other categories because the prudential risks associated with credit-rating activity differ from those created by securities dealing, investment management, custody or clearing. The CISI material's licence-category summary specifies AED 30 million for dealing in securities, AED 50 million for dealing in investment, AED
50 million for custody, clearing and recording, AED 5 million for credit rating agencies, and no minimum capital requirement for the fifth category of arrangement and advice in the version covered by the study material. Consequently, AED 10 million, AED 30 million and AED 50 million do not represent the capital requirement applicable specifically to credit rating agencies. The CISI multiple-choice answer section independently confirms AED 5 million for Category 4. Therefore, option A is correct.
NEW QUESTION # 62
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, brokerage companies must use 70% of the market value of securities they own to increase the value of their guarantee. This guarantee acts as a financial safeguard to ensure the firm's stability and protect clients and counterparties against default risk. The 70% proportion strikes a balance between maximizing the leverage of owned securities and maintaining prudent risk management. It reflects the regulatory emphasis on requiring sufficient collateral and guarantees to support brokerage operations, maintaining market confidence and financial soundness within the UAE capital markets.
Reference: CISI UAE Financial Rules and Regulations - Brokerage Firms Guarantees, Section 3.3.9 (2023).
NEW QUESTION # 63
During a trading session of the DFM, a selling transaction can be executed:
Answer: C
Explanation:
The Dubai Financial Market operates an electronic, order-driven trading system during its continuous trading session. Once the market enters the normal trading phase, buy and sell orders can be entered and matched according to the applicable price and time priority rules. A security can therefore be bought or sold at any time throughout the continuous trading session , subject to market controls such as price limits, suspensions and other applicable trading restrictions. There is no general rule limiting selling transactions to the first 50 or 55 minutes of each hour, nor is selling universally prohibited during the final 15 minutes of the normal trading phase. The CISI material separately distinguishes continuous trading from pre-opening, pre- closing and closing sessions. During pre-closing, orders are accumulated for the closing auction, while during the final closing session firms cannot enter new orders, adjust existing orders or cancel them. The question, however, refers specifically to execution during the DFM trading session. Accordingly, option A correctly reflects continuous trading principles.
NEW QUESTION # 64
The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
Answer: C
Explanation:
Per CISI UAE Financial Rules and Regulations, the compliance regulation guide submitted by licensing applicants must include procedures and mechanisms that ensure the compliance officer has access to sufficient resources. Adequate resources are critical for the compliance officer to effectively oversee adherence to regulatory requirements, manage risks, and implement compliance programs. This includes staffing, technology, training, and authority necessary to fulfill the role's responsibilities. While emergency powers or deputizing may be operationally important, the regulations emphasize resource adequacy as a fundamental compliance enabler.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Compliance Officer Requirements, Section 3.3.6 (2023).
NEW QUESTION # 65
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