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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 2: Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| Topic 3: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Legal obligations of market participants - Securities laws and regulations |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Topic 5: Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Topic 6: Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Topic 7: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
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NEW QUESTION # 110
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:
Answer: D
Explanation:
For a financial promotion that quotes yield figures to comply with the clear, fair, and not misleading rule, it must give a balanced impression of both short and long term prospects. This ensures that the promotion does not mislead the client by focusing too heavily on short-term returns or exaggerating long-term performance. A balanced presentation of both short and long-term outcomes is essential for providing a full, accurate picture of the investment, allowing clients to make informed decisions. This approach aligns with the principles of transparency and fairness that underpin financial regulation.
Reference: CISI UAE Financial Rules and Regulations - Financial Promotions and Yield Quotes, Section
5.2.3 (2023).
NEW QUESTION # 111
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: B
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 # 112
Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
Answer: A
Explanation:
Where in-kind shares are contributed to a local investment fund, the prospectus must provide comprehensive disclosure so that investors understand the nature and potential valuation risks of those assets. The SCA investment-fund regulations require the prospectus to provide full information about each in-kind share, its owner and value, the number of units issued against it and a summary of the in-kind valuation report. It must additionally explain the extent to which the in-kind shares can subsequently be disposed of and the extent to which their values may vary after the fund has been established according to market circumstances and subsequent valuation reports . Option A therefore accurately captures the required disclosure concerning potential fluctuations in value. There is no requirement in this provision to identify alternative assets that were considered. An evaluation report is not treated as unnecessary; instead, its summary is specifically required.
Nor does this particular prospectus disclosure require the fund to identify specific legislation authorising the contribution. The regulatory focus is transparency over valuation and liquidity risks. Therefore, option A is correct.
NEW QUESTION # 113
What does the Authority usually do before deciding to delist a company's shares?
Answer: C
Explanation:
Before deciding to delist a company's shares, the regulatory authority typically follows a procedure designed to ensure that the company has an opportunity to rectify any issues. According to the CISI UAE Financial Rules and Regulations, the Authority usually issues an improvement notice of 30 days to the company. This notice outlines the deficiencies or non-compliance issues that the company needs to address in order to avoid delisting. The 30-day period allows the company time to correct the issues, such as failure to meet financial reporting requirements, governance standards, or other operational obligations. This approach ensures fairness and transparency before taking any drastic actions like delisting.
Reference: CISI UAE Financial Rules and Regulations - Delisting Procedures, Section 2.5.3 (2023).
NEW QUESTION # 114
Each licence applicant must submit a risk management guide that includes:
Answer: A
Explanation:
In the UAE regulatory framework, every licence applicant is mandated to provide a comprehensive risk management guide. As per CISI UAE Financial Rules and Regulations, this guide must explicitly address the development and implementation of policies and procedures to identify, assess, monitor, and mitigate risks within the licensed entity. This requirement ensures that firms proactively manage financial, operational, and compliance risks, safeguarding market integrity and client interests. While other governance and compliance mechanisms such as compliance officer resources and internal auditor independence are important, the risk management guide specifically focuses on how the firm establishes and enforces risk-related policies and procedures. This foundational element of risk governance demonstrates the applicant's readiness and capability to operate safely within the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, Risk Management Requirements, Section 3.2.7 (2023).
NEW QUESTION # 115
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