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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 2: Client Protection | 10% | |
| Topic 3: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 4: The Regulatory Infrastructure | 17% | - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 8: Trading | 11% |
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NEW QUESTION # 135
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations require that investors in crypto assets be promptly notified in advance of any material change in the nature of the software relevant to the assets. This advance notification is crucial to allow investors to make informed decisions regarding their holdings before changes take effect.
Material changes could affect functionality, security, or value of the crypto asset. The regulation promotes transparency and investor protection by ensuring timely and clear communication, preventing investors from being blindsided by unexpected developments. The requirement aligns with international best practices on disclosure for crypto asset issuers.
Reference: CISI UAE Financial Rules and Regulations - Legislation and Practice, Crypto Asset Regulation, Section 7.2.1 (2023).
NEW QUESTION # 136
Applicants for an Authority licence must supply details covering the retention of employee data for what minimum period from the date of the last update?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations requires licence applicants to establish an employees regulation covering the standards, records and controls applicable to personnel. The applicant must maintain a continuously updated employee record containing relevant employee data, responsibilities and the date on which each employee began performing their duties. Critically, the CISI manual specifies that employee data must be retained for ten years from the date of the last update . This is substantially longer than the three-, five- or seven-year alternatives presented in the question. The retention requirement supports the Authority's supervisory and investigative functions by preserving a reliable historical record of personnel who performed regulated activities and the responsibilities allocated to them. The same employee-regulation framework also requires mechanisms for revising and updating employee rules and maintaining professional conduct standards. Because the question asks specifically for the minimum period calculated from the employee record's last update, the applicable period is ten years. Therefore, option D is correct.
NEW QUESTION # 137
In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations allow the waiver of the requirement for licensed bodies to disclose their legal status only in specific scenarios such as when an emergency has been notified to the Authority. This provision recognizes that during certain urgent situations, standard disclosure obligations may be temporarily suspended to allow for swift action or confidentiality. Other circumstances such as ongoing court cases, market corrections, or takeover bids do not automatically justify waivers of disclosure obligations, preserving investor transparency and trust under normal conditions.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Disclosure Obligations and Waivers, Section 4.1.10 (2023).
NEW QUESTION # 138
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
Answer: A
Explanation:
CISI UAE Financial Rules and Regulations specify that when a local investment fund is established by an entity licensed for family investment management, at least 90% of the fund units must be owned by family members. This high ownership threshold ensures that the fund serves its intended purpose as a family investment vehicle, restricting external investor participation. The rule protects the fund's family-oriented investment strategy, governance, and compliance with related regulatory provisions. It also aligns with the regulatory framework promoting transparency and proper segmentation of family investment funds in the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Family Investment Management Funds, Ownership Requirements, Section 6.6.5 (2023).
NEW QUESTION # 139
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 # 140
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