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| Section | Weight | Objectives |
|---|---|---|
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
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NEW QUESTION # 17
A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?
Answer: A
Explanation:
CISI UAE Financial Rules and Regulations define that cash investment funds may hold commercial papers and deposit certificates only. Medium-term bonds are typically excluded from cash funds as they have longer maturities and more interest rate risk, which conflicts with the liquidity and capital preservation objectives of cash funds. Commercial papers and deposit certificates, with their shorter maturities and high liquidity, are appropriate instruments for cash funds, providing stable, low-risk returns in line with regulatory requirements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Asset Eligibility, Section 6.4.3 (2023).
NEW QUESTION # 18
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
Answer: A
Explanation:
Under CISI UAE Financial Rules and Regulations, risk management is among the prescribed financial activities for which the Securities and Commodities Authority (SCA) issues licenses. Licensing ensures that entities engaging in financial risk assessment and mitigation services meet regulatory standards related to expertise, governance, and compliance. Activities such as analysis, promotion, and corporate planning are not independently licensable financial activities but may be ancillary functions within licensed firms. The licensure of risk management activities supports market stability and investor protection by formalizing oversight of critical financial functions.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Licensing, Section
3.1.2 (2023).
NEW QUESTION # 19
What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?
Answer: B
Explanation:
The Clearing, Settlement and Depository Department (CSD Department) at the Abu Dhabi Securities Exchange maintains electronic records relating to ownership and transfer of listed securities. An issuer wishing to list its securities must provide the ADX with its shareholders' register, including shareholder details, balances and relevant ownership restrictions. The issuer remains responsible for ensuring that the information supplied is complete, valid and accurate. After the shareholders' register has been uploaded onto the ADX's electronic systems, the CISI UAE Financial Rules and Regulations specifically states that the CSD Department sends a copy of the electronic register to the issuer for reconciliation purposes .
Reconciliation enables the issuer to compare the electronic CSD record with its own information and identify inconsistencies before they affect ownership records or corporate actions. The procedure does not require issuing registration slips to every shareholder, notifying the Authority simply that uploading has occurred, or immediately storing an off-site disaster-recovery copy as the next prescribed step. Therefore, option C is correct.
NEW QUESTION # 20
Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in- kind share transfer?
Answer: D
Explanation:
The CISI requirements for evaluators of investment-fund in-kind shares prescribe both regulatory approval and relevant professional experience. An evaluator must have obtained the appropriate licence or approval from the competent authority in the State for evaluation activities. In addition, the evaluator must possess at least five years' experience in the evaluation field generally and at least three years' experience in evaluating the particular type of asset being provided as an in-kind share. The evaluator must also be completely independent and must not have joint interests with the fund founders or other relevant parties. Furthermore, an auditor or financial adviser acting for the same fund cannot undertake the evaluation of the in-kind shares for that fund. Of the answers supplied, option A directly reflects the specific experience requirement relating to the asset being evaluated. The CISI provision does not state that the evaluator merely needs to appear on a provisional Authority list, be an accountant or auditor, or satisfy the requirement simply by signing a declaration of impartiality. Therefore, A is the correct answer.
NEW QUESTION # 21
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
Answer: C
Explanation:
According to CISI UAE Financial Rules and Regulations, applicants for a financial activities licence must ensure that their record-keeping systems allow for recovery of electronic records from archives within a maximum period of three business days. This requirement ensures timely access to data necessary for audits, investigations, and regulatory reviews. The three-business-day timeframe balances operational feasibility with regulatory needs for responsiveness and data integrity, supporting transparency and compliance in the UAE financial sector.
Reference: CISI UAE Financial Rules and Regulations - Record-Keeping and Data Recovery Procedures, Section 3.5.10 (2023).
NEW QUESTION # 22
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