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| Section | Weight | Objectives |
|---|---|---|
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| 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% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
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NEW QUESTION # 143
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
Answer: C
Explanation:
According to CISI UAE Financial Rules and Regulations, if a client holds a debit balance with a brokerage firm on the Dubai Financial Market (DFM), the firm is prevented from accepting new orders from that client until the debit balance is cleared. This measure protects both the brokerage firm and market integrity by ensuring that clients do not accumulate unpaid debts from trading activities, thereby reducing credit risk. The restriction applies specifically to new orders; other services such as providing advice or selling securities may continue under certain conditions.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Debit Balance Controls, Section 4.4.12 (2023).
NEW QUESTION # 144
The founders of a local investment fund must not dispose of the investment units owned by them for a period of at least:
Answer: C
Explanation:
The investment-fund regulations impose specific commitment requirements on the founders of a self-managed local fund. Among these requirements, the founders must subscribe an amount of at least AED 5 million into the fund and must not dispose of the investment units owned by them for at least six months from the date of foundation . The lock-in period demonstrates that the founders retain a meaningful financial interest during the fund's initial operating period instead of establishing the fund and immediately disposing of their holdings. This helps align the founders' interests with those of other investors and supports stability during the early stages of the fund. The rule is distinct from other 12-month periods appearing elsewhere in the investment-fund framework, such as the period within which a newly licensed local fund must begin implementing its investment policy. Accordingly, applying a 9-, 12- or 18-month lock-in would incorrectly combine separate regulatory requirements. The explicit founders' disposal restriction is six months from foundation. Therefore, option A is correct.
NEW QUESTION # 145
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
Answer: D
Explanation:
The CISI rules governing securities pledges require a pledge request to be submitted using the prescribed form and to contain minimum information enabling the CSD Department to identify the securities, the parties and the economic rights connected with the pledge. The required information includes the creditor on mortgage, the debtor on mortgage who owns the securities, details identifying the securities subject to the pledge-including the issuing company and quantity-and the party entitled to the profits generated by those securities. The entitlement to profits is particularly significant because dividends or other distributions may arise while securities remain pledged, and the CSD must know whether those economic benefits belong to the investor or the pledgee. Although a pledging period may appear in particular market pledge instructions, the CISI examination provision identifying the minimum information on the relevant CSD pledge request specifically includes the party entitled to profits. The reason for the pledge and an agreed default option are not among the stated minimum particulars tested here. Therefore, option C is correct.
NEW QUESTION # 146
Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?
Answer: C
Explanation:
A Special Purpose Acquisition Company (SPAC) must complete a prescribed sequence of regulatory and market procedures when conducting its public offering. After the required subscription and registration procedures have been completed and the applicable registration fee has been paid, the Authority issues the SPAC's registration certificate. The CISI UAE Financial Rules and Regulations then imposes a short deadline for the next stage. Within three business days from the date of the registration certificate , the SPAC must submit its request to the relevant market to list the shares and warrants it has issued in accordance with the applicable listing requirements. After listing, the SPAC becomes subject immediately to the Authority's corporate governance requirements applicable to listed public joint-stock companies. This three-business-day requirement should not be confused with other SPAC deadlines, such as the period for depositing the prospectus before subscription, publication of the subscription invitation, or the permitted duration of the subscription period itself. Since the question specifically concerns the post-registration listing request, the correct answer is three business days, option C.
NEW QUESTION # 147
The Authority suspects a person offering crypto assets of violating regulations and wants to examine the firm's computer systems, computer equipment and data traffic. Which of these does it have the power to access and inspect?
Answer: A
Explanation:
The Authority possesses extensive inspection and supervisory powers in relation to persons involved in regulated crypto-asset offerings and related licensed activities. Under the relevant SCA regulation, the Authority may conduct periodic or unannounced supervision, control and inspection to determine whether offering persons, responsible parties and licensed persons comply with the applicable regulatory framework.
These powers expressly extend to inspecting or accessing computer systems, computer data, computer data traffic and equipment where relevant information is stored. The provision enables the Authority to investigate suspected violations using the complete technological environment in which regulated crypto-asset activities are conducted. Limiting inspection to only systems and equipment, equipment and traffic, or systems and traffic would exclude categories specifically included within the Authority's regulatory powers.
The breadth of the provision is especially important for crypto-asset activities because transactions, records, communications and operational controls may exist primarily in electronic form. Consequently, all three items identified in the question-systems, equipment and data traffic-fall within the Authority's inspection powers. Therefore, option D is correct.
NEW QUESTION # 148
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