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| Section | Weight | Objectives |
|---|---|---|
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
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NEW QUESTION # 74
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 # 75
Brokers must pay the value of securities sold on behalf of their clients, after deducting commissions and fees, before:
Answer: B
Explanation:
The DFM settlement rules impose a clear obligation on brokerage firms regarding proceeds generated from securities sold for clients. Once a broker has executed a sale, it may deduct the applicable commissions and fees, but it must then pay the remaining sale proceeds to the client before the end of two days or before the end of the settlement period prescribed by the DFM , as applicable. Payment can be made using recognised methods such as an appropriately issued cheque or transfer to the client's account. Where the client does not request immediate receipt of the proceeds, the broker must credit the amount to the client's balance before the end of the settlement period for the securities sold. This requirement protects clients by preventing brokers from retaining sale proceeds beyond the permitted settlement timetable. The one-, three- and four-day alternatives do not reproduce the rule stated in the CISI/DFM material. Consequently, the prescribed period presented in option B-two days or the DFM settlement period-is the correct answer.
NEW QUESTION # 76
A key reason why the regulator applies financial promotion rules is to ensure that:
Answer: D
NEW QUESTION # 77
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?
Answer: D
Explanation:
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).
NEW QUESTION # 78
The role of the safe custodian in relation to exchange-traded funds (ETFs) is to:
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations separates the responsibilities of the different entities participating in an exchange-traded fund. The management company or investment manager implements and monitors the investment policy and oversees ETF performance. The administrative services company calculates and announces the daily net asset value and regularly communicates the indicative net asset value.
The authorised agent supports liquidity and performs the order-related functions associated with creation and redemption. The safe custodian , however, has custody and settlement responsibilities. It must ensure that the orders and documentation relating to exchanges between ETF units and the components of the tracked index are processed through the administrative services company and must ensure that transfers of ownership of ETF units are completed . Transfers to or from the safe custodian must be completed before redemption, cancellation or issuance of ETF units. Therefore, daily NAV announcements belong to the administrative services company, implementation of investment policy belongs principally to management, and order updating is associated with the authorised agent. Option D correctly identifies the safe custodian's role.
NEW QUESTION # 79
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