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| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - General background - Disclosure and Transparency |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% | |
| Client Protection | 10% | |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
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NEW QUESTION # 150
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
Answer: D
Explanation:
Sponsors of companies applying to become Special Purpose Acquisition Companies (SPACs) in the UAE must prepare detailed proposals that specifically address the management of conflicts of interest. This is mandated under CISI UAE Financial Rules and Regulations to ensure that the SPAC's activities remain transparent and investors' interests are protected. Conflicts of interest may arise from the sponsors' dual roles or relationships with target companies or investors. Addressing these conflicts proactively through proposals and policies supports integrity and market confidence. While risk reduction and anti-money laundering are critical, the regulations explicitly highlight conflict management as a core area for SPAC sponsors.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, SPAC Sponsorship Requirements, Section 6.3.4 (2023).
NEW QUESTION # 151
A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
Answer: A
Explanation:
The UAE regulatory framework establishes specific advisers and service providers that a Special Purpose Acquisition Company must appoint when conducting a public offering. According to the CISI UAE Financial Rules and Regulations, the SPAC must appoint a listing consultant and a financial consultant , together with one or more entities responsible for receiving public subscriptions. The listing consultant and other parties to the subscription process are also subject to due-diligence responsibilities. A risk consultant is not identified as one of the mandatory appointments for making the SPAC's shares available through the prescribed public offering process. This distinction is important because a SPAC is a specialised acquisition vehicle formed to raise capital and subsequently acquire or merge with a target entity; the listing and financial consultants support compliance with offering, listing, valuation and transaction requirements associated with that process. Although risk-management considerations remain relevant throughout the SPAC lifecycle, they do not create a requirement to appoint a separate risk consultant under the provision tested by this question.
Accordingly, option B is correct.
NEW QUESTION # 152
Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
Answer: C
Explanation:
Final approval of a local investment fund depends upon completion of prescribed post-subscription procedures. According to the CISI UAE Financial Rules and Regulations, the fund manager-and, in the case of a self-managed fund, its founders-must submit specified documentation to the Authority within no more than 30 days from the date on which subscriptions close . One of the principal documents is a certificate from the local fund's auditor confirming that subscription to the fund's capital has been completed. For a family fund, additional evidence may also be required to establish that subscribers satisfy the relevant family and beneficial-ownership requirements. Failure to submit the required documents within the prescribed period can cause the establishment procedures to be treated as non-existent and require subscribed amounts to be returned. Once the required auditor's certificate and supporting documentation have been properly submitted, the Authority proceeds with the establishment and licensing process. The relevant deadline is therefore 30 days, not five, ten or fifteen days. Accordingly, option D is correct.
NEW QUESTION # 153
If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?
Answer: D
Explanation:
If a discrepancy is identified during an external reconciliation process, the firm is required to investigate and correct it as soon as possible. The CISI UAE Financial Rules and Regulations emphasize that discrepancies, whether in financial data or operational procedures, must be thoroughly examined to determine the root cause and rectified promptly. Immediate corrective action helps to ensure that financial statements and other reports remain accurate and reliable, preventing any further errors or compliance issues. While it may be necessary to inform the regulator or suspend operations in extreme cases, the first priority is to address the discrepancy through investigation and correction.
Reference: CISI UAE Financial Rules and Regulations - Reconciliation and Error Resolution, Section 8.1.4 (2023).
NEW QUESTION # 154
The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:
Answer: C
Explanation:
Disclosing a licensed body's legal status and its licensing by the Authority is crucial because it enables clients and others who may suffer from perceived or actual misbehaviour to raise their concerns with the regulator.
This transparency mechanism empowers investors and market participants to seek redress and promotes regulatory oversight. While the disclosure also signifies the firm's subjection to regulatory supervision, the primary benefit is facilitating complaint handling and protection. It does not imply that no misbehaviour occurs, nor does it authorize the unauthorised use of the Authority's branding by third parties.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Regulatory Disclosure, Section 4.1.8 (2023).
NEW QUESTION # 155
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