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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 2: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 3: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Topic 4: Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Topic 5: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
| Topic 6: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Topic 7: Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
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NEW QUESTION # 171
An Insiders Register should be prepared for securities issued by:
Answer: D
Explanation:
The Corporate Governance provisions covered by the CISI UAE Financial Rules and Regulations require listed companies to establish controls over transactions undertaken by Board members, employees and other persons who may possess unpublished inside information. The company's Board must issue written rules governing transactions by these insiders in securities issued by the company itself, its parent company, subsidiaries and related companies . A special and comprehensive Insiders Register must then be maintained, including permanent and temporary insiders who have access to internal information before publication. The organisation responsible for the register must monitor insiders' transactions, maintain their disclosures, provide updated insider lists to the SCA and market, and submit the register to the Authority when requested. Limiting the regime to securities issued solely by the company would leave material connected-company dealings outside the monitoring framework. Similarly, options B and C improperly omit either subsidiaries or related companies. The CISI text expressly covers all four categories, making option D the complete and correct answer.
NEW QUESTION # 172
Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:
Answer: C
Explanation:
Under the CISI UAE Financial Rules and Regulations, brokers are required to submit regular statements of account to clients. These statements must include the client's balance of securities and cash, as well as details of all transactions executed. The statement must be submitted on a monthly basis, unless a different arrangement is specifically agreed upon between the broker and the client. This ensures transparency, allowing clients to stay informed about their investment portfolios and the status of their accounts. Regular monthly reporting is a fundamental requirement for protecting client interests and ensuring that financial institutions operate with the highest standards of accountability and client service.
Reference: CISI UAE Financial Rules and Regulations - Client Account Statements, Section 4.5.2 (2023).
NEW QUESTION # 173
Why would the Authority board resolve temporarily to halt trading in the shares of any company?
Answer: D
Explanation:
The Authority board may decide to temporarily halt trading in the shares of a company if a threat to the proper and regular working of that market arises. This action is taken to ensure the integrity of the market and protect investors from any disruption caused by irregularities or unexpected events. Such threats could include issues like system failures, significant market manipulation, or events that might cause unfair trading conditions.
Halting trading is a precautionary measure that aims to stabilize the market, allowing time for the issue to be resolved before trading resumes.
Reference: CISI UAE Financial Rules and Regulations - Trading Halts and Market Integrity, Section 3.4.2 (2023).
NEW QUESTION # 174
The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?
Answer: A
Explanation:
For Silver Futures contracts on the Dubai Gold & Commodities Exchange (DGEX), the contract size is 1,000 troy ounces of refined silver, with a prescribed margin of 5%. The margin requirement ensures that traders have sufficient collateral to cover potential price fluctuations in the market. The 5% margin provides a balance between allowing for liquidity in the market and managing the risks associated with futures trading.
This is a standard margin level designed to protect both market participants and the exchange from extreme volatility or defaults.
Reference: CISI UAE Financial Rules and Regulations - Silver Futures Trading on DGEX, Section 7.1.3 (2023).
NEW QUESTION # 175
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
Answer: B
Explanation:
On the Dubai Financial Market (DFM), a good-till-cancelled (GTC) order remains active and available for execution until explicitly cancelled by the investor who placed it. This means the investor maintains control over the order's lifespan, allowing it to persist through trading sessions unless they choose to withdraw it.
Brokers or clearing members do not have authority to unilaterally cancel GTC orders, ensuring investor autonomy. The market committee also does not intervene in the cancellation of individual orders under normal circumstances. This design supports investor flexibility and orderly market functioning.
Reference: CISI UAE Financial Rules and Regulations - Trading Rules and Order Management, Section
7.3.2 (2023).
NEW QUESTION # 176
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