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

SectionWeightObjectives
Dubai Financial Market (DFM)11%
The Regulatory Infrastructure17%- Codes of Conduct
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Corporate Governance (Law No. 3 issued Jan 2020)
- Securities & Commodities Authority (SCA)
- Accounting system controls (Decision No. 13/Chairman issued 2021)
- Federal Law No. 4 of 2000
- SCA Resolutions
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Licensed Bodies14%- General provisions
- Licensing financial activities
- Requirements of capital market institutions
Client Protection10%
Trading11%
Markets11%- General background
- Disclosure and Transparency
Investment Funds11%- Provisions specific to certain public funds
- The local fund

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최신 Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations 무료샘플문제 (Q117-Q122):

질문 # 117
When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:

정답：A

설명：
CISI UAE Financial Rules and Regulations stipulate that for debt securities issued via public subscription, the offeror must announce any replacement of the trustee within a maximum of 72 hours. Prompt notification ensures transparency, allowing investors to be informed about key custodial and fiduciary changes that may affect the security's management and enforcement of rights. Delays beyond this period could impact investor confidence and violate continuous disclosure requirements, thus the 72-hour timeframe strikes a balance between operational feasibility and timely communication.
Reference: CISI UAE Financial Rules and Regulations - Debt Securities Public Offers and Trustee Notifications, Section 5.8.6 (2023).


질문 # 118
Brokers have a number of obligations in relation to client orders, including:

정답：D

설명：
The CISI rules governing client orders require brokers to manage conflicts of interest and ensure fair treatment of clients. If a broker has an interest in a transaction being executed for a client, or another connection to the transaction that could create a conflict, the broker must take appropriate steps to protect the client, including disclosing its interest. The client must then be given the opportunity to refuse the transaction.
Option B therefore most accurately describes a direct obligation placed on the broker. Option A is incorrect because a broker must generally ensure that a client owns securities before a sell order is entered unless the transaction qualifies under the applicable short-selling regulations. Option C is also incorrectly framed: where an order breaches law or regulation, it is the ADX that has the right to order the broker to resell or repurchase securities to restore the previous position. For buy orders, clients normally must pay before execution unless specified exceptions apply. Accordingly, the correct answer is B.


질문 # 119
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

정답：C

설명：
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, lawyers, notary publics, and other legal professionals may be exempt from suspicious transaction reporting requirements when providing legal opinions related to legal proceedings. This exemption recognizes the privileged nature of legal advice and the confidentiality inherent in legal representation. However, when these professionals engage in financial or transactional activities outside the scope of legal proceedings, such as advising on financial transactions or real estate deals, they must comply with reporting obligations to prevent money laundering.
The exemption balances legal professional privilege with AML/CTF requirements.
Reference: CISI UAE Financial Rules and Regulations - AML Exemptions for Legal Professionals, Section
8.3.1 (2023).


질문 # 120
A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

정답：C

설명：
The Dubai Financial Market's Professional Code of Conduct grants the DFM the right to access and review all core client-related records maintained by brokerage firms, including client agreements, selling orders, and accounts. This comprehensive access enables the DFM to monitor compliance, investigate complaints, and ensure that firms adhere to regulatory and ethical standards. Access to all three categories is essential to provide a complete picture of client interactions and transactions, ensuring market transparency and investor protection. Partial access would impair effective oversight and enforcement.
Reference: CISI UAE Financial Rules and Regulations - DFM Professional Code of Conduct, Records Access and Review, Section 4.1.6 (2023).


질문 # 121
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

정답：D

설명：
According to CISI UAE Financial Rules and Regulations, if a client holds a debit balance with a brokerage firm on the Dubai Financial Market (DFM), the firm is prevented from accepting new orders from that client until the debit balance is cleared. This measure protects both the brokerage firm and market integrity by ensuring that clients do not accumulate unpaid debts from trading activities, thereby reducing credit risk. The restriction applies specifically to new orders; other services such as providing advice or selling securities may continue under certain conditions.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Debit Balance Controls, Section 4.4.12 (2023).


질문 # 122
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