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| Section | Weight | Objectives |
|---|---|---|
| Dubai Financial Market (DFM) | 11% | |
| Markets | 11% | - General background - Disclosure and Transparency |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) |
| Trading | 11% | |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Client Protection | 10% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
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NEW QUESTION # 97
The conciliation process allows the Authority to impose what alternative to criminal prosecution?
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations provide for a conciliation process whereby the Authority may impose a negotiated out-of-court settlement as an alternative to criminal prosecution. This mechanism allows for the resolution of regulatory breaches through mutual agreement, often involving remedial actions and financial penalties, without lengthy court proceedings. It supports regulatory efficiency and offers a less adversarial path to compliance while maintaining enforcement effectiveness. Suspension or referral are different enforcement actions but not part of the conciliation alternative.
Reference: CISI UAE Financial Rules and Regulations - Enforcement and Conciliation Procedures, Section
2.7.5 (2023).
NEW QUESTION # 98
A real estate investment fund may borrow no more than what percentage of its total assets value?
Answer: D
Explanation:
According to the CISI UAE Financial Rules and Regulations, real estate investment funds are subject to borrowing limits to ensure financial stability and prevent excessive leverage. A real estate investment fund may borrow no more than 50% of its total assets value. This limit helps mitigate the risks associated with high levels of debt and ensures that the fund remains adequately capitalized to handle fluctuations in the real estate market. By restricting the borrowing capacity, the regulations aim to protect investors and ensure the fund's long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Borrowing Limits for Real Estate Investment Funds, Section 6.1.5 (2023).
NEW QUESTION # 99
If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?
Answer: C
Explanation:
For a company wishing to offer shares after converting into a public joint-stock company, it must have released audited financial statements for a minimum of three fiscal years prior to the request to offer shares.
This requirement ensures that the company has a solid track record of financial performance and transparency, which is essential for potential investors to evaluate the company's viability and financial health. The three- year period provides enough historical data to assess trends and make informed investment decisions, supporting market integrity and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Requirements for Public Offerings, Section 4.2.3 (2023).
NEW QUESTION # 100
Order cancellation can be carried out on the trading system. What happens if the order has already been traded?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations distinguishes between adjusting an active order and cancelling one. Certain elements of a live order may be modified while the order remains valid, although some changes can result in a new timestamp and altered execution priority. Cancellation is different: once an order is successfully cancelled through the trading system, the original order cannot subsequently be recovered. More importantly for this question, an order that has already been traded cannot be cancelled , because execution has already occurred. Where a cancellation request is submitted after the order has been traded, the system rejects the cancellation request . This preserves transactional finality and avoids attempting to reverse a completed execution through ordinary order-cancellation functionality. Any separate regulatory mechanism for cancelling or adjusting an executed transaction due to a technical error, breach of market rules or other prescribed circumstances is governed by different provisions and should not be confused with routine cancellation of an order. Therefore, where the order has already traded, option B-the request is rejected-is correct.
NEW QUESTION # 101
When a firm performs internal reconciliations of the financial instruments held for each client, what must it do if the reconciliation shows a discrepancy?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations requires firms holding client financial instruments to carry out reconciliations between their internal records of each client's entitlement and the financial instruments actually held by the firm or by third parties. Where such a reconciliation identifies a discrepancy, the firm must make good, or provide the equivalent of, any shortfall for which it is responsible . If another person is responsible for the discrepancy, the firm must instead take reasonable steps to resolve the position with that person. Firms must also notify the regulator without delay if they fail to comply with the applicable reconciliation requirements. This rule is distinct from the separate requirements governing internal reconciliations of client money , where a discrepancy must be investigated and a cash shortfall paid into the client bank account, or an excess removed, by close of business on the day the reconciliation is performed.
Therefore, neither a 30-day notification period nor a seven-day correction period applies here. Option D precisely reflects the CISI requirement.
NEW QUESTION # 102
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