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| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Legal obligations of market participants - Securities laws and regulations |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
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The CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) certification is a valuable credential that every CISI professional should earn it. The CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) certification exam offers a great opportunity for beginners and experienced professionals to demonstrate their expertise. With the CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) certification exam everyone can upgrade their skills and knowledge. There are other several benefits that the CISI UAE-Financial-Rules-and-Regulations exam holders can achieve after the success of the CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) certification exam.
NEW QUESTION # 139
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
Answer: D
Explanation:
According to CISI UAE Financial Rules and Regulations, applicants utilizing cloud-based servers must demonstrate that their outsourced service providers have provisions in place to guarantee zero data loss for a minimum of five years. This requirement protects the integrity and availability of critical financial data over the regulatory retention period. The five-year timeframe aligns with data retention standards for audit, compliance, and operational continuity in the UAE financial sector, ensuring that regulatory bodies and firms can access historical information for supervisory purposes.
Reference: CISI UAE Financial Rules and Regulations - IT and Data Management Requirements, Section
3.5.7 (2023).
NEW QUESTION # 140
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
Answer: B
Explanation:
In the case of an in-kind share transfer where two evaluators produce different fair value figures, the average of the two amounts is typically used. This approach helps ensure fairness and reduces the risk of biases from individual evaluations. The CISI UAE Financial Rules and Regulations recommend averaging the values to arrive at a reasonable and balanced assessment, especially when the evaluators may have different methods or opinions regarding the valuation of assets. This method is widely accepted as it prevents any single evaluator's assessment from disproportionately influencing the final valuation.
Reference: CISI UAE Financial Rules and Regulations - In-kind Share Transfer Valuation, Section 8.4.2 (2023).
NEW QUESTION # 141
An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:
Answer: C
Explanation:
In trading systems regulated under the CISI UAE Financial Rules and Regulations, brokers must ensure the accuracy of account details associated with transactions. However, if an error occurs, such as using an incorrect trading account number, amendments are generally not allowed beyond the trading session unless specific conditions are met. The CISI rules state that amendments will only be made in exceptional circumstances. For instance, if the request for the amendment is made shortly after the session, such as within
40 minutes, and it can be demonstrated that the error had no significant impact on market stability or the involved parties, it may be considered exceptional. Therefore, a correction request is usually subject to a careful review of its impact, and the circumstances of the error must be deemed significant enough to warrant such an exception.
Reference: CISI UAE Financial Rules and Regulations - Trading Errors and Amendments, Section 8.4.1 (2023).
NEW QUESTION # 142
The founders of a local investment fund must not dispose of the investment units owned by them for a period of at least:
Answer: B
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 # 143
Which of the following does the Authority require licensed bodies to do in respect of close ties with other firms?
Answer: D
Explanation:
The Authority requires licensed bodies to ensure that ownership, management or other close relationships with third parties do not interfere with effective regulatory supervision. Under the CISI UAE Financial Rules and Regulations, a licensed body must notify the Authority of any close ties and ensure that those ties will not impede the Authority's supervision and control. The person or entity with whom the close relationship exists must also satisfy applicable efficiency and appropriateness standards, and the licensed body must be prepared to supply documentation and information concerning the relationship whenever requested. If the Authority concludes that a close tie is inconsistent with licensing requirements or may obstruct supervision, it may require the relationship to be amended or terminated and may impose appropriate sanctions for non- compliance. The rule does not state that every close tie requires prior approval, nor does it restrict close ties exclusively to capital-market firms or branches of the same organisation. The operative obligation is notification combined with preservation of effective regulatory oversight. Therefore, option A is correct.
NEW QUESTION # 144
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