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| Section | Weight | Objectives |
|---|---|---|
| Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Legal obligations of market participants - Securities laws and regulations |
| Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
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NEW QUESTION # 51
When promoting private funds, related materials must:
Answer: B
Explanation:
Promotional materials for private funds in the UAE must clearly clarify the fund's specific nature and include the required disclaimer as prescribed by the Authority. This requirement ensures that potential investors receive accurate and compliant information about the private fund's characteristics, risks, and restrictions. The disclaimer serves to limit investor expectations and legal liabilities. While certain media restrictions and content approvals may apply in some jurisdictions, the key regulatory focus is on transparency and proper disclosure within promotional materials to protect investor interests.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Promotion and Disclosure Requirements, Section 6.3.9 (2023).
NEW QUESTION # 52
As part of its obligations under the Authority regulations, a commodities CCP carries out periodic back tests.
Why are these tests required?
Answer: D
Explanation:
A commodities central counterparty (CCP) assumes significant counterparty and settlement risk because it becomes the central clearing entity between market participants. The CISI UAE Financial Rules and Regulations therefore requires a commodities CCP to operate comprehensive prudential controls, including margin requirements, default funds, daily liquidity assessment and stress testing. Stress tests must assess whether margin and default-fund resources remain sufficient under severe but plausible scenarios. The CCP must also conduct periodic back tests specifically to ensure that the stress-test scenarios remain adequate
. Back testing compares the assumptions and risk parameters used in the testing framework with actual historical or observed outcomes, enabling weaknesses in the stress methodology to be identified. It does not replace regular stress testing; therefore, option A is directly contrary to the rule. Default-fund contributions are based principally on clearing members' risk exposures, and the purpose of back testing is not simply to determine the fund's extreme tolerance level. The CISI material expressly identifies adequacy of stress-test scenarios as the objective. Therefore, option B is correct.
NEW QUESTION # 53
In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:
Answer: D
Explanation:
According to the CISI UAE Financial Rules and Regulations under Client Protection provisions, when a client buys and sells securities within the same trading session (day trading), the client must maintain sufficient credit to cover the value of purchase in their cash account at the time of the transaction. This rule ensures that clients have the necessary funds to settle their purchase obligations promptly, reducing settlement risk and maintaining market stability. Credit to cover sales is not required since sales generate funds rather than consume them. This provision supports orderly trading and financial discipline among market participants by preventing unsettled trades and possible defaults.
Reference: CISI UAE Financial Rules and Regulations - Client Protection, Trading and Settlement Rules, Section 4.3.2 (2023).
NEW QUESTION # 54
What additional provision is made by the market in relation to trading in shares of public joint-stock companies that are in the second category of listing?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations explains that public joint-stock companies transferred to the second category of listing are subject to a distinct market-display mechanism. Companies may enter the second category where, for example, their shares have been suspended for six months or more or they satisfy prescribed accumulated-loss criteria. To distinguish these securities clearly from first-category companies and provide investors with additional transparency regarding their status, the market displays companies in the second category on a separate dedicated screen . Companies on the relevant watch list are also monitored for compliance with listing and disclosure requirements and must take measures to regularise their position.
The second-category regime does not restrict trading solely to qualified investors, impose a special transaction levy merely because of classification, or confine trading to particular specified calendar dates. The additional provision specifically tested is the separate screen through which second-category securities are identified and traded. Therefore, option A is correct.
NEW QUESTION # 55
What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?
Answer: A
Explanation:
Under Federal Law No. 20 of 2018 and relevant CISI UAE Financial Rules and Regulations, the minimum fine imposed on a person convicted of financing an illegal organisation is AED 150,000. This penalty underscores the seriousness with which the UAE treats the crime of funding illegal or terrorist entities.
Alongside financial sanctions, convicted individuals may face imprisonment and other legal consequences.
These stringent penalties are part of the UAE's commitment to combating terrorism financing and protecting national and international security.
Reference: CISI UAE Financial Rules and Regulations - AML Criminal Sanctions, Section 8.4.5 (2023).
NEW QUESTION # 56
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