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

SectionWeightObjectives
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Licensed Bodies14%- General provisions
- Licensing financial activities
- Requirements of capital market institutions
Markets11%- Disclosure and Transparency
- General background
Client Protection10%
Trading11%
Investment Funds11%- Provisions specific to certain public funds
- The local fund
The Regulatory Infrastructure17%- Securities & Commodities Authority (SCA)
- Codes of Conduct
- Federal Law No. 4 of 2000
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- SCA Resolutions
- Accounting system controls (Decision No. 13/Chairman issued 2021)
- Corporate Governance (Law No. 3 issued Jan 2020)
Dubai Financial Market (DFM)11%

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CISI UAE Financial Rules and Regulations Exam 認定 UAE-Financial-Rules-and-Regulations 試験問題 (Q112-Q117):

質問 # 112
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:

正解：C

解説：
Under Federal Law No. 20 of 2018 and related CISI UAE Financial Rules and Regulations, issuers arranging crypto asset offerings must establish controls to prevent subscriptions being taken at excessive levels from non-qualified investors. This is a key investor protection and anti-money laundering measure designed to restrict high-risk investment exposure to those with adequate knowledge, resources, and risk appetite. By enforcing subscription limits for non-qualified investors, the regulations mitigate fraud, market manipulation, and financial losses while ensuring regulatory compliance. Controls over pricing discretion or fluctuations, while relevant, are not the central regulatory concern in this context.
Reference: CISI UAE Financial Rules and Regulations - AML and Crypto Asset Issuance Controls, Section
8.2.4 (2023).


質問 # 113
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

正解：C

解説：
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).


質問 # 114
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

正解：B

解説：
Per CISI UAE Financial Rules and Regulations, the watch list monitored by the Authority's committee consists of all public companies that have declared losses in the last 12 months. These companies are subject to closer regulatory scrutiny to protect investors and maintain market stability. Monitoring focuses on financial health indicators that might signal increased risk, ensuring timely intervention if necessary. Private companies are generally not included in this watch list, which targets publicly traded entities with broader investor impact.
Reference: CISI UAE Financial Rules and Regulations - Market Surveillance and Watch List, Section 5.6.4 (2023).


質問 # 115
Firms providing investment management services must also provide periodic statements, unless:

正解：C

解説：
The CISI UAE Financial Rules and Regulations requires firms providing investment-management services to issue periodic statements so clients can monitor the assets, transactions and performance of their portfolios.
However, the rules contain a specific exemption: the investment-management firm itself does not need to provide a periodic statement where that statement is already being provided by another party . This prevents unnecessary duplication while ensuring that the client continues to receive the required information.
For retail clients, the normal reporting frequency is at least six-monthly, although different circumstances can alter the frequency. A leveraged portfolio does not create an exemption; on the contrary, where the client has authorised leverage, statements must normally be provided more frequently. Similarly, higher-risk investments can affect particular reporting arrangements rather than eliminate the reporting obligation. A client simply requesting not to receive statements does not constitute the exemption specified in the CISI rule.
The determining circumstance is therefore whether another party already supplies the required periodic statement. Accordingly, option D is correct.


質問 # 116
What is the minimum fine that can be levied on someone who commits a money laundering crime through an organised crime group?

正解：C

解説：
For this CISI syllabus question, the governing provision is Federal Decree-Law No. 20 of 2018 as amended and incorporated into the UAE Financial Rules and Regulations material. The law applies an aggravated penalty where money laundering is committed in specified circumstances, including where the perpetrator abuses professional influence or authority, commits the offence through a non-profit organisation, commits it through an organised crime group , or is a repeat offender. In these aggravated circumstances, the prescribed financial penalty is not less than AED 300,000 and not more than AED 10 million , together with temporary imprisonment. The question asks only for the minimum monetary fine. AED 200,000 and AED
400,000 do not correspond to the statutory threshold, while AED 500,000 relates to other penalty provisions and should not be confused with the minimum for this aggravated natural-person money-laundering offence.
Accordingly, under the Federal Law No. 20 of 2018 framework specifically tested by the CISI syllabus, option B-AED 300,000-is correct.


質問 # 117
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