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| Section | Weight | Objectives |
|---|---|---|
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Legal obligations of market participants - Securities laws and regulations |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
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NEW QUESTION # 164
When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?
Answer: D
Explanation:
Under the UAE's Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) framework, firms, including those involved in crypto assets, are required to align their compliance practices with international standards. The Financial Action Task Force (FATF) provides the global framework and recommendations to combat money laundering and terrorism financing. Firms must adhere to these recommendations to update and maintain their AML compliance programs effectively, ensuring that they remain in line with the best global practices and avoid involvement in illicit activities. The FATF's guidelines specifically address the risks posed by crypto assets and set standards for monitoring, reporting, and controlling potential misuse of such assets for money laundering purposes.
Reference: CISI UAE Financial Rules and Regulations - Anti-Money Laundering Framework and Crypto Assets, Section 9.2.4 (2023).
NEW QUESTION # 165
The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?
Answer: B
Explanation:
For Silver Futures contracts on the Dubai Gold & Commodities Exchange (DGEX), the contract size is 1,000 troy ounces of refined silver, with a prescribed margin of 5%. The margin requirement ensures that traders have sufficient collateral to cover potential price fluctuations in the market. The 5% margin provides a balance between allowing for liquidity in the market and managing the risks associated with futures trading.
This is a standard margin level designed to protect both market participants and the exchange from extreme volatility or defaults.
Reference: CISI UAE Financial Rules and Regulations - Silver Futures Trading on DGEX, Section 7.1.3 (2023).
NEW QUESTION # 166
Why would the Authority board resolve temporarily to halt trading in the shares of any company?
Answer: B
Explanation:
The Authority board may decide to temporarily halt trading in the shares of a company if a threat to the proper and regular working of that market arises. This action is taken to ensure the integrity of the market and protect investors from any disruption caused by irregularities or unexpected events. Such threats could include issues like system failures, significant market manipulation, or events that might cause unfair trading conditions.
Halting trading is a precautionary measure that aims to stabilize the market, allowing time for the issue to be resolved before trading resumes.
Reference: CISI UAE Financial Rules and Regulations - Trading Halts and Market Integrity, Section 3.4.2 (2023).
NEW QUESTION # 167
A key purpose of customer due diligence measures is to address the risk of:
Answer: C
Explanation:
Customer due diligence (CDD) is one of the principal preventive controls within the UAE anti-money laundering and counter-terrorist financing framework. Its purpose is to prevent financial institutions and other regulated businesses from being used to disguise criminal proceeds or facilitate prohibited financing. CDD requires firms to identify customers, verify their identity from reliable and independent information, identify and verify beneficial owners where applicable, understand the purpose and intended nature of the business relationship and undertake continuing monitoring. These measures allow the institution to compare actual transactions against its knowledge of the customer and identify activity that may indicate money laundering or terrorist financing. Cybercrime, insider dealing and embezzlement are significant financial-crime risks, but they are not the primary regulatory risk addressed by the CDD provisions tested in this section of the CISI syllabus. The syllabus expressly places CDD within the element dealing with Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations. Therefore, among the options provided, money laundering is the correct answer.
NEW QUESTION # 168
The main purpose of the committee established by the Authority to monitor companies on the watch list is to ensure that they:
Answer: A
Explanation:
The watch list consists of companies transferred from the first listing category to the second category because they have failed to satisfy specified listing conditions. Under the CISI UAE Financial Rules and Regulations, a joint committee established by the Authority monitors companies placed on that watch list. Its central supervisory purpose is to assess whether the companies comply with the disclosure and listing requirements applicable to them. Monitoring initially applies for one year and can extend to a maximum of three years. A monitored company must also submit an action plan designed to regularise its position and become eligible for transfer back to the first category, with implementation progress disclosed periodically to the committee. Based on its assessment, the committee may recommend returning the company to the first category, retaining it in the second category with continued trading, or cancelling its listing. AML/CFT compliance and equitable shareholder treatment are important regulatory obligations generally, but they are not the specific purpose assigned to this watch-list committee. Therefore, option C is correct.
NEW QUESTION # 169
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