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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Topic 2: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Topic 3: Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Topic 5: Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Topic 6: Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
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NEW QUESTION # 15
A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
Answer: D
Explanation:
The UAE regulatory framework establishes specific advisers and service providers that a Special Purpose Acquisition Company must appoint when conducting a public offering. According to the CISI UAE Financial Rules and Regulations, the SPAC must appoint a listing consultant and a financial consultant , together with one or more entities responsible for receiving public subscriptions. The listing consultant and other parties to the subscription process are also subject to due-diligence responsibilities. A risk consultant is not identified as one of the mandatory appointments for making the SPAC's shares available through the prescribed public offering process. This distinction is important because a SPAC is a specialised acquisition vehicle formed to raise capital and subsequently acquire or merge with a target entity; the listing and financial consultants support compliance with offering, listing, valuation and transaction requirements associated with that process. Although risk-management considerations remain relevant throughout the SPAC lifecycle, they do not create a requirement to appoint a separate risk consultant under the provision tested by this question.
Accordingly, option B is correct.
NEW QUESTION # 16
The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
Answer: D
Explanation:
Per CISI UAE Financial Rules and Regulations, the compliance regulation guide submitted by licensing applicants must include procedures and mechanisms that ensure the compliance officer has access to sufficient resources. Adequate resources are critical for the compliance officer to effectively oversee adherence to regulatory requirements, manage risks, and implement compliance programs. This includes staffing, technology, training, and authority necessary to fulfill the role's responsibilities. While emergency powers or deputizing may be operationally important, the regulations emphasize resource adequacy as a fundamental compliance enabler.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Compliance Officer Requirements, Section 3.3.6 (2023).
NEW QUESTION # 17
Which of the following financial activities comes under the fifth category licence?
Answer: A
Explanation:
The fifth category licence under UAE financial regulations pertains specifically to credit rating agencies.
These entities assess the creditworthiness of issuers of debt, including governments and corporations, and their ratings are critical for investors and markets. The fifth category licence provides the legal framework for credit rating agencies to operate within the UAE's financial sector, ensuring they meet the regulatory standards and criteria set by the Securities and Commodities Authority (SCA). This helps ensure transparency, reliability, and trust in the credit ratings issued, which are vital for maintaining market stability and investor confidence.
Reference: CISI UAE Financial Rules and Regulations - Financial Activities Licences, Section 4.2.1 (2023).
NEW QUESTION # 18
For how many days after issuing a report must an in-kind shares evaluator refrain from trading in securities associated with the subject of the evaluation?
Answer: C
Explanation:
The rules governing evaluators of in-kind shares impose personal-dealing restrictions intended to preserve independence and prevent an evaluator from exploiting information obtained during the valuation process. An evaluator must disclose securities related to the evaluation report that they owned before preparing the report.
More importantly, the CISI UAE Financial Rules and Regulations imposes a defined dealing blackout surrounding publication of the valuation. The evaluator must refrain from trading securities associated with the subject of the evaluation, including related financial derivatives, for 15 days before issuing the evaluation report and five days after the report is issued . The question specifically asks for the post-report restriction, so the correct period is five days. Fifteen days is relevant, but it applies to the period preceding issuance and is therefore a deliberate distractor. Ten and thirty days are not the prescribed post-publication periods. These restrictions reduce the risk that an evaluator can personally benefit from valuation-sensitive information or create an appearance that the valuation was influenced by personal trading interests. Therefore, option A is correct.
NEW QUESTION # 19
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Answer: A
NEW QUESTION # 20
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