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

Section	Weight	Objectives
Topic 1: Trading	11%
Topic 2: Dubai Financial Market (DFM)	11%
Topic 3: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations	14%	- Federal Law No. 20 of 2018
Topic 4: Markets	11%	- Disclosure and Transparency - General background
Topic 5: The Regulatory Infrastructure	17%	- License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - Codes of Conduct - SCA Resolutions - Securities & Commodities Authority (SCA)
Topic 6: Investment Funds	11%	- The local fund - Provisions specific to certain public funds
Topic 7: Licensed Bodies	14%	- Licensing financial activities - Requirements of capital market institutions - General provisions
Topic 8: Client Protection	10%

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CISI UAE Financial Rules and Regulations Exam 認定 UAE-Financial-Rules-and-Regulations 試験問題 (Q170-Q175):

質問 # 170
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

A. When conducting real estate transactions within the UAE
B. When advising on financial transactions for politically exposed persons
C. When providing services relating to beneficiaries of insurance policies
D. When providing legal opinion with regards to legal proceedings

正解：D

解説：
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).

質問 # 171
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

A. governance regulation
B. technical system
C. administration regulation
D. employee regulation

正解：A

解説：
Behaviour regulations submitted by license applicants, such as a professional code of ethics, are classified undergovernance regulationswithin the CISI UAE Financial Rules and Regulations framework. Governance regulations encompass policies, standards, and codes that guide the ethical conduct, integrity, and responsibilities of licensed entities and their employees. They are designed to promote accountability, compliance, and good corporate citizenship within the financial industry. Unlike technical systems, which relate to operational infrastructure, or employee regulations focused on HR and workplace rules, governance regulations provide the overarching ethical and procedural guidelines essential for sustaining market confidence and protecting stakeholders. The inclusion of a professional code of ethics ensures license applicants demonstrate commitment to the principles of fairness, transparency, and fiduciary duty, which are fundamental requirements by the Securities and Commodities Authority (SCA) for licensing approval.
Reference:CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Governance, Section
3.1.4 (2023).

質問 # 172
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?

A. The lowest one
B. The highest one
C. The one produced by the most experienced evaluator
D. The average of the two amounts

正解：D

解説：
In the case of an in-kind share transfer where two evaluators produce different fair value figures, the average of the two amounts is typically used. This approach helps ensure fairness and reduces the risk of biases from individual evaluations. The CISI UAE Financial Rules and Regulations recommend averaging the values to arrive at a reasonable and balanced assessment, especially when the evaluators may have different methods or opinions regarding the valuation of assets. This method is widely accepted as it prevents any single evaluator's assessment from disproportionately influencing the final valuation.
Reference: CISI UAE Financial Rules and Regulations - In-kind Share Transfer Valuation, Section 8.4.2 (2023).

質問 # 173
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:

A. The details are made public by the relevant entity
B. The Authority grants approval for the publication
C. The firm signs a conflict-of-interest disclaimer
D. The likely impact of the data is assessed

正解：A

解説：
The DFM Professional Code of Conduct imposes a specific restriction on brokerage firms concerning market data and information about entities whose securities are listed on the exchange. A brokerage firm must not publish or promote market data or information concerning the status of a listed entity unless the information has first been verified and made public by the concerned entity . This prevents brokers from distributing unconfirmed, selective or prematurely disclosed information that might influence prices or create information asymmetry between investors. The rule complements broader DFM obligations requiring brokerage firms to act honestly and fairly and to avoid misleading conduct. The broker does not need a separate publication approval from the Authority for every item falling within this rule. Signing a conflict-of-interest disclaimer does not convert unpublished information into permissible market data, and assessing the information's potential impact is not the regulatory trigger allowing publication. The decisive condition is that the information has been verified and publicly disclosed by the entity concerned. Accordingly, option B is correct.

質問 # 174
The market must provide an electronic trading system which ensures:

A. The automatic stopping of purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
B. Privacy to enable all companies and entities whose securities are listed in the market, and their registrars, to keep the information secret
C. The ability to manually stop purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
D. Provision of trading accounts that can be opened in the names of two or more investors without the requirement for Authority approval

正解：A

解説：
The CISI UAE Financial Rules and Regulations specifies core controls that must be incorporated into a market's electronic trading system. One of the principal controls is the automatic stopping of purchase orders where those orders exceed the limits supported by a broker's bank guarantee or reach the threshold applicable to a special order. Automation is significant because the control must operate at system level and prevent a broker from accepting exposure beyond the financial security available to support its transactions.
The CISI material defines a special order as an order approved in advance by the market for a securities transaction exceeding 80% of the amount of the broker's bank guarantee. The requirement is therefore not merely a facility enabling manual intervention, making option A incorrect. The electronic system must also enable listed entities and their registrars to view their own share registers; it is not designed simply to conceal that information. Multiple-investor trading-account provisions are governed separately. Consequently, option B directly reproduces the required electronic-trading safeguard and is the correct answer.

質問 # 175
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