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| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - Disclosure and Transparency - General background |
| Trading | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Client Protection | 10% | |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Dubai Financial Market (DFM) | 11% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - SCA Resolutions - Codes of Conduct |
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NEW QUESTION # 96
A key reason why the regulator applies financial promotion rules is to ensure that:
Answer: D
NEW QUESTION # 97
If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
Answer: D
Explanation:
If a listed company faces accumulated losses of 50% or more of its capital, the company is required to be moved from a first category listing to a second category of listing. This measure is designed to protect investors by ensuring that only financially stable companies remain in the primary listing category, which is subject to stricter regulatory oversight and higher investor expectations. The second category listing provides a lower level of visibility, which reflects the increased financial risks associated with such companies. This helps mitigate the potential impact on other market participants.
Reference: CISI UAE Financial Rules and Regulations - Listing Categories and Financial Health, Section
2.5.1 (2023).
NEW QUESTION # 98
When establishing a local investment fund, how much are the founders required to subscribe?
Answer: B
Explanation:
When establishing a local investment fund in the UAE, the founders are required to subscribe a minimum amount to demonstrate commitment and to comply with the legal and financial requirements set by the Securities and Commodities Authority (SCA). The minimum required subscription is at least 10 million dirhams. This ensures that the fund has a solid financial base, contributing to its credibility and ability to cover initial operational and management expenses. The founders' subscription also serves to align their interests with those of potential investors and provides an assurance of the fund's viability and long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Fund Formation Requirements, Section 6.1.2 (2023).
NEW QUESTION # 99
Where debt instruments are held by cash investment funds, the credit rating of these instruments must reach what minimum threshold?
Answer: C
Explanation:
Cash investment funds are designed to maintain high liquidity and relatively low credit and market risk.
Accordingly, the CISI UAE Financial Rules and Regulations establishes strict requirements governing the assets in which these funds may invest. At least 90% of the fund's assets must be invested in highly liquid cash instruments, and the maximum weighted average maturity is limited. Where the fund invests in debt instruments, those instruments must have a credit rating of not less than BBB+ , or an equivalent rating from a recognised credit-rating agency. This threshold reduces exposure to issuers whose credit quality falls below the minimum standard intended for a cash-oriented investment vehicle. The rules also restrict concentration in debt instruments issued by a single issuer and place limits on borrowing. Ratings of BB and BB+ fall below investment-grade thresholds, while BBB, although investment grade under common rating conventions, still falls short of the specific BBB+ minimum prescribed by this UAE fund rule. Therefore, the correct answer is D, BBB+.
NEW QUESTION # 100
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, applicants utilizing cloud-based servers must demonstrate that their outsourced service providers have provisions in place to guarantee zero data loss for a minimum of five years. This requirement protects the integrity and availability of critical financial data over the regulatory retention period. The five-year timeframe aligns with data retention standards for audit, compliance, and operational continuity in the UAE financial sector, ensuring that regulatory bodies and firms can access historical information for supervisory purposes.
Reference: CISI UAE Financial Rules and Regulations - IT and Data Management Requirements, Section
3.5.7 (2023).
NEW QUESTION # 101
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