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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Topic 2: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Topic 3: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Topic 4: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Topic 5: Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Topic 6: Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
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NEW QUESTION # 19
The written agreement between a crypto asset custodian and the holders of these assets must set out the procedures that will be adopted to identify and prevent:
Answer: D
Explanation:
Crypto asset custodians are subject to detailed controls designed to safeguard client assets and prevent operational errors or unauthorised transactions. The CISI UAE Financial Rules and Regulations expressly requires a custodian to adopt procedures that identify and prevent the execution of multiple instructions in respect of the same transaction approved by a client . The custodian must enter into a signed written agreement with every holder whose crypto assets it safeguards, with that agreement specifying the custodian's relevant duties and obligations. Other safeguards include segregating client assets from the custodian's property, keeping accurate ownership records, controlling cryptographic keys, maintaining transaction logs and ensuring that no single individual can completely authorise actions over client crypto assets. The rules do not prohibit employees from having any access to cryptographic keys; rather, they prevent unilateral complete control by one person. Nor is this provision designed to bar non-qualified investors from ownership. The particular procedure identified in the question is prevention of duplicate execution instructions for the same transaction. Consequently, option B is correct.
NEW QUESTION # 20
Why would the Authority board resolve temporarily to halt trading in the shares of any company?
Answer: B
Explanation:
The Authority board may decide to temporarily halt trading in the shares of a company if a threat to the proper and regular working of that market arises. This action is taken to ensure the integrity of the market and protect investors from any disruption caused by irregularities or unexpected events. Such threats could include issues like system failures, significant market manipulation, or events that might cause unfair trading conditions.
Halting trading is a precautionary measure that aims to stabilize the market, allowing time for the issue to be resolved before trading resumes.
Reference: CISI UAE Financial Rules and Regulations - Trading Halts and Market Integrity, Section 3.4.2 (2023).
NEW QUESTION # 21
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations sets out specific operational responsibilities for the Depository Centre following approval of a security's listing. Within one week from approval of the listing, the Depository Centre must install a terminal device for the registrar of the listed entity. The terminal enables the registrar to access the register, make necessary inquiries and perform required updates. Related rules also require the issuer, within one week of listing approval, to provide the Depository Centre with an up-to-date copy of its shareholder register and subsequently update it whenever necessary. These arrangements ensure that ownership information maintained by the Depository Centre remains accurate and current. This is particularly important because Depository Centre records provide legal evidence of securities ownership and support rights such as voting, dividends and bonus-share entitlements. The prescribed period is therefore one week, not three days, 15 days or three weeks. Accordingly, the maximum period specified in the CISI material for installation of the terminal device is one week, making option B correct.
NEW QUESTION # 22
When promoting private funds, related materials must:
Answer: C
Explanation:
Promotional materials for private funds in the UAE must clearly clarify the fund's specific nature and include the required disclaimer as prescribed by the Authority. This requirement ensures that potential investors receive accurate and compliant information about the private fund's characteristics, risks, and restrictions. The disclaimer serves to limit investor expectations and legal liabilities. While certain media restrictions and content approvals may apply in some jurisdictions, the key regulatory focus is on transparency and proper disclosure within promotional materials to protect investor interests.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Promotion and Disclosure Requirements, Section 6.3.9 (2023).
NEW QUESTION # 23
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Answer: A
Explanation:
A Special Purpose Acquisition Company (SPAC) is required to safeguard the overwhelming majority of the money raised through its public subscription. The CISI study material specifies that not less than 90% of public subscription proceeds, or any higher percentage prescribed by the Authority, must be deposited within two business days into an escrow or other suitable segregated account. Money in that account is restricted to defined purposes. These include financing the business combination, meeting recovery requests submitted by investors, returning public subscription proceeds following a failure event, and paying fees associated with maintaining the account or those permitted purposes. The escrow proceeds are therefore not a general pool of working capital available for restructuring, market hedging or issuing additional shares. In the scenario, depositing 95% meets the minimum 90% segregation requirement, but the permitted uses remain restricted.
Among the listed alternatives, meeting recovery requests from investors is expressly authorised by the CISI SPAC rules. Consequently, option A is the correct answer.
NEW QUESTION # 24
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