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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Investment Funds	11%	- The local fund - Provisions specific to certain public funds
Topic 2: The Regulatory Infrastructure	17%	- Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021)
Topic 3: Markets	11%	- Disclosure and Transparency - General background
Topic 4: Licensed Bodies	14%	- Licensing financial activities - Requirements of capital market institutions - General provisions
Topic 5: Dubai Financial Market (DFM)	11%
Topic 6: Trading	11%
Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations	14%	- Federal Law No. 20 of 2018
Topic 8: Client Protection	10%

>> UAE-Financial-Rules-and-Regulations Unterlage <<

UAE-Financial-Rules-and-Regulations Buch - UAE-Financial-Rules-and-Regulations PDF

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CISI UAE Financial Rules and Regulations Exam UAE-Financial-Rules-and-Regulations Prüfungsfragen mit Lösungen (Q29-Q34):

29. Frage
When an application is made to list a crypto asset on a crypto asset exchange, the documentation provided to the Authority must include details of:

A. The confidentiality agreement with the software provider
B. Any hacking vulnerabilities of the underlying technology
C. The methods of disaster recovery proposed
D. Any losses previously incurred by the applicant

Antwort: B

Begründung:
A crypto asset exchange seeking to list a crypto asset must provide the Authority with sufficient information to assess both the asset and the technology supporting it. Under the CISI UAE Financial Rules and Regulations, the listing application must include the initial and continuing criteria used to select the crypto asset for listing and trading, details of the relevant distributed ledger technology or protocol, fees or other compensation associated with the listing, and any hacking vulnerabilities affecting the technology underlying the crypto asset. The documentation must also address traceability of the crypto asset and the capability to apply controls designed to combat money laundering and terrorism financing. Disclosure of hacking vulnerabilities is particularly important because weaknesses in the underlying distributed-ledger technology can expose investors, custodians and markets to theft, unauthorised transfers and operational disruption. The specific listing requirements do not identify a software confidentiality agreement, historical losses of the applicant, or disaster-recovery methodology as the required item tested by this question. Therefore, option C directly reflects the CISI requirement.

30. Frage
The role of the authorised agent of the exchange-traded fund (ETF) is to:

A. regularly announce the indicative value of the net value of assets
B. update sell and buy orders
C. announce the net value of the unit's assets on a daily basis
D. ensure that the transfer of ownership of units is completed

Antwort: A

Begründung:
The authorised agent of an ETF has a critical role in maintaining transparency and liquidity in the market.
According to CISI UAE Financial Rules and Regulations, the authorised agent is responsible for regularly announcing the indicative value of the net assets of the ETF units. This indicative net asset value (iNAV) provides investors and market participants with a near real-time estimate of the underlying assets' value, reflecting market fluctuations throughout the trading day. Unlike the official net asset value (NAV), which is typically calculated at the end of the trading day, the iNAV supports intra-day trading decisions and helps maintain price alignment between the ETF units and their underlying assets. This responsibility is fundamental in ensuring efficient price discovery and protecting investor interests in the ETF market.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and ETF Operations, Section
6.4.2 (2023).

31. Frage
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A. an independent audit function
B. external consultants
C. regular operational resilience exercises
D. the audit committee

Antwort: A

Begründung:
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).

32. Frage
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A. Deposit not less than 90% of the public subscription proceeds within one business day of receipt
B. Deposit not less than 90% of the public subscription proceeds within two business days of receipt
C. Deposit not less than 100% of the public subscription proceeds within one business day of receipt
D. Deposit not less than 100% of the public subscription proceeds within two business days of receipt

Antwort: C

Begründung:
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection. This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference:CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).

33. Frage
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

A. When providing legal opinion with regards to legal proceedings
B. When providing services relating to beneficiaries of insurance policies
C. When advising on financial transactions for politically exposed persons
D. When conducting real estate transactions within the UAE

Antwort: A

Begründung:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, lawyers, notary publics, and other legal professionals may be exempt from suspicious transaction reporting requirements when providing legal opinions related to legal proceedings. This exemption recognizes the privileged nature of legal advice and the confidentiality inherent in legal representation. However, when these professionals engage in financial or transactional activities outside the scope of legal proceedings, such as advising on financial transactions or real estate deals, they must comply with reporting obligations to prevent money laundering.
The exemption balances legal professional privilege with AML/CTF requirements.
Reference: CISI UAE Financial Rules and Regulations - AML Exemptions for Legal Professionals, Section
8.3.1 (2023).

34. Frage
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