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| Section | Weight | Objectives |
|---|---|---|
| Dubai Financial Market (DFM) | 11% | |
| Trading | 11% | |
| Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Client Protection | 10% | |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) |
| Markets | 11% | - Disclosure and Transparency - General background |
| 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 # 23
The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations require that the whistleblowing policy submitted by licence applicants incorporates a clear mechanism for protecting the reporting employee. This protection includes confidentiality safeguards, protection against retaliation, and secure channels for raising concerns. Ensuring the safety and anonymity of whistleblowers is fundamental to encouraging the reporting of unethical or illegal conduct, thereby enhancing regulatory compliance and corporate governance. Other aspects such as escalation procedures and disciplinary measures are important but secondary; the central pillar of effective whistleblowing policy is the protection of the individual who reports wrongdoing.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Whistleblowing, Section 3.4.2 (2023).
NEW QUESTION # 24
Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?
Answer: B
Explanation:
Licensed entities in the UAE financial sector, under the supervision of the Securities and Commodities Authority (SCA), are required to maintain and provide documents related to client interactions and suitability assessments when requested by the Authority. According to the CISI UAE Financial Rules and Regulations, appropriateness reports-used to assess whether certain financial products or services are suitable for clients- are not routinely submitted on a monthly or quarterly basis unless specifically demanded. Instead, the responsibility lies with the licensed entity to retain these reports and submit copies only upon explicit request by the Authority or in case of regulatory investigations. This ensures a balanced approach between regulatory oversight and operational efficiency. The rationale is to allow the Authority to conduct targeted reviews while minimizing administrative burdens on firms, thus enabling a focused compliance regime that protects client interests without unnecessary procedural overload. This is aligned with the regulatory framework designed to ensure transparency, investor protection, and market integrity in the UAE.
Reference:CISI UAE Financial Rules and Regulations Study Guide, Section on Client Protection - Obligations of Licensed Entities Regarding Appropriateness Reports, SCA Compliance Guidelines 2023.
NEW QUESTION # 25
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: A
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 # 26
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
Answer: D
Explanation:
On the Dubai Financial Market (DFM), a good-till-cancelled (GTC) order remains active and available for execution until explicitly cancelled by the investor who placed it. This means the investor maintains control over the order's lifespan, allowing it to persist through trading sessions unless they choose to withdraw it.
Brokers or clearing members do not have authority to unilaterally cancel GTC orders, ensuring investor autonomy. The market committee also does not intervene in the cancellation of individual orders under normal circumstances. This design supports investor flexibility and orderly market functioning.
Reference: CISI UAE Financial Rules and Regulations - Trading Rules and Order Management, Section
7.3.2 (2023).
NEW QUESTION # 27
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:
Answer: C
Explanation:
The Dubai Financial Market (DFM) Professional Code of Conduct mandates that brokerage firms perform thorough customer due diligence to confirm client identities. For natural persons, this includes obtaining detailed personal information such as profession, exact residential address, PO Box, and phone number. This comprehensive identification requirement supports anti-money laundering (AML) and know-your-customer (KYC) policies by enabling firms to verify clients accurately and assess their risk profiles effectively.
Commercial registration details and legal entity information apply to corporate clients, not individuals.
Collecting detailed contact and occupational data also facilitates ongoing monitoring and communication, fulfilling regulatory obligations to maintain transparent client records.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and DFM Professional Code of Conduct, Section 4.1.3 (2023).
NEW QUESTION # 28
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