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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Topic 2: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 3: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Topic 4: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Topic 5: Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Topic 6: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Topic 7: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
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NEW QUESTION # 20
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
Answer: B
Explanation:
The CISI rules governing securities pledges require a pledge request to be submitted using the prescribed form and to contain minimum information enabling the CSD Department to identify the securities, the parties and the economic rights connected with the pledge. The required information includes the creditor on mortgage, the debtor on mortgage who owns the securities, details identifying the securities subject to the pledge-including the issuing company and quantity-and the party entitled to the profits generated by those securities. The entitlement to profits is particularly significant because dividends or other distributions may arise while securities remain pledged, and the CSD must know whether those economic benefits belong to the investor or the pledgee. Although a pledging period may appear in particular market pledge instructions, the CISI examination provision identifying the minimum information on the relevant CSD pledge request specifically includes the party entitled to profits. The reason for the pledge and an agreed default option are not among the stated minimum particulars tested here. Therefore, option C is correct.
NEW QUESTION # 21
The role of the authorised agent of the exchange-traded fund (ETF) is to:
Answer: C
Explanation:
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).
NEW QUESTION # 22
A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
Answer: A
Explanation:
According to CISI UAE Financial Rules and Regulations, a licensed person dealing with security tokens must conduct a suitability check when the client is not a qualified investor. This requirement protects less sophisticated investors by ensuring that the financial products offered match their investment knowledge, risk tolerance, and financial circumstances. Qualified investors are presumed to have sufficient expertise and resources, thus not mandating suitability checks. The nature of the token or amount invested is not the primary trigger; rather, client qualification status governs the obligation to perform suitability assessments.
This aligns with investor protection principles embedded in UAE financial regulations.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Suitability Checks, Section
4.3.9 (2023).
NEW QUESTION # 23
The founders of a local investment fund must not dispose of the investment units owned by them for a period of at least:
Answer: C
Explanation:
The investment-fund regulations impose specific commitment requirements on the founders of a self-managed local fund. Among these requirements, the founders must subscribe an amount of at least AED 5 million into the fund and must not dispose of the investment units owned by them for at least six months from the date of foundation . The lock-in period demonstrates that the founders retain a meaningful financial interest during the fund's initial operating period instead of establishing the fund and immediately disposing of their holdings. This helps align the founders' interests with those of other investors and supports stability during the early stages of the fund. The rule is distinct from other 12-month periods appearing elsewhere in the investment-fund framework, such as the period within which a newly licensed local fund must begin implementing its investment policy. Accordingly, applying a 9-, 12- or 18-month lock-in would incorrectly combine separate regulatory requirements. The explicit founders' disposal restriction is six months from foundation. Therefore, option A is correct.
NEW QUESTION # 24
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
Answer: A
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 # 25
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