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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Trading | 11% | |
| Topic 2: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 3: Client Protection | 10% | |
| Topic 4: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 5: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 6: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 7: The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions |
| Topic 8: Dubai Financial Market (DFM) | 11% |
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NEW QUESTION # 154
What are brokerage firms able to do during the closing session?
Answer: C
Explanation:
The Dubai Financial Market distinguishes clearly between the pre-closing session and the final closing session. During the pre-closing session , orders are accumulated without immediate execution. Brokerage firms may enter new orders at determined prices and may adjust or cancel existing orders. At the end of that phase, eligible orders are matched using the theoretical auction price. The closing session is different.
According to the CISI UAE Financial Rules and Regulations, during the closing session data and information are displayed, enquiries may be made , and necessary reports can be printed. Brokerage firms may not adjust orders, cancel orders or enter new orders at this stage. This restriction preserves the finality of the closing auction and prevents additional order activity after the market has reached its closing state. Options A, B and D therefore describe activities that are specifically prohibited during the closing session. Of the choices provided, only making enquiries remains permitted. Consequently, option C is the verified answer.
NEW QUESTION # 155
The offence of tipping off leads to:
Answer: B
Explanation:
Within the CISI UAE Financial Rules and Regulations AML syllabus, tipping off occurs when a person notifies or warns another person about suspicions relating to money laundering or reveals that a transaction is being reviewed or investigated because of such suspicions. Disclosure of this information can undermine an investigation by allowing the subject to conceal assets, destroy evidence, alter transaction patterns or otherwise obstruct enforcement action. The CISI study guide states that the offence of tipping off is punishable by imprisonment for no less than six months and/or a financial penalty of no less than AED
100,000 and no more than AED 500,000. This combination corresponds exactly to option D. The considerably longer imprisonment periods or higher financial penalties appearing in the other alternatives relate neither to the specific CISI tipping-off provision nor to the sanction tested by this question. Staff dealing with suspicious transactions must therefore preserve strict confidentiality concerning reports, investigations and related information while ensuring that suspicions are escalated through the prescribed AML reporting process.
Comparison basis: List A and List B .
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NEW QUESTION # 156
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
Answer: C
Explanation:
According to CISI UAE Financial Rules and Regulations, applicants utilizing cloud-based servers must demonstrate that their outsourced service providers have provisions in place to guarantee zero data loss for a minimum of five years. This requirement protects the integrity and availability of critical financial data over the regulatory retention period. The five-year timeframe aligns with data retention standards for audit, compliance, and operational continuity in the UAE financial sector, ensuring that regulatory bodies and firms can access historical information for supervisory purposes.
Reference: CISI UAE Financial Rules and Regulations - IT and Data Management Requirements, Section
3.5.7 (2023).
NEW QUESTION # 157
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:
Answer: D
Explanation:
Under the UAE Anti-Money Laundering (AML) laws and regulations, financial institutions are required to periodically test the effectiveness of their internal policies, controls, and procedures designed to combat money laundering. The independent audit function is specifically responsible for testing and evaluating these AML frameworks. The independent auditor must assess whether the institution's systems and procedures effectively detect, prevent, and report suspicious transactions and activities. This audit ensures that the policies are up-to-date, comprehensive, and compliant with both local and international standards. Regular audits provide an additional layer of scrutiny, ensuring that financial institutions can demonstrate their commitment to preventing money laundering and terrorist financing.
Reference: CISI UAE Financial Rules and Regulations - AML Testing and Audits, Section 9.5.2 (2023).
NEW QUESTION # 158
When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:
Answer: A
Explanation:
Evaluators of in-kind shares for investment funds must adhere to key ethical principles including honesty, justice, and confidentiality when collecting data from official authorities. Confidentiality ensures sensitive information obtained during valuation processes is protected against unauthorized disclosure, preserving trust and compliance with legal requirements. This principle complements honesty and justice by maintaining the integrity of the evaluation process and protecting the interests of the fund and its investors. Governance, equality, and prudence are important but not the specifically mandated principles in this context.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Valuation and Ethical Standards, Section 6.2.9 (2023).
NEW QUESTION # 159
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