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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 2: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Codes of Conduct - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 3: Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Topic 4: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: Trading | 11% | |
| Topic 7: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 8: Client Protection | 10% |
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NEW QUESTION # 118
When a licensed firm refers a client complaint to another body, it must:
Answer: D
Explanation:
A licensed firm's complaint-handling procedures must address situations where another body is wholly or partially responsible for the subject matter of a client's complaint. The applicable SCA rules require the firm to notify the complainant that referral is proposed and, if the complainant agrees, refer the relevant portion immediately while supplying written information concerning the referral date, responsible person and contact details. Importantly, where only part of the complaint is referred, the original licensed firm must continue handling any part of the complaint that was not referred . This prevents unresolved elements from being abandoned merely because another organisation has responsibility for a separate aspect of the matter. The regulations do not require suspension of the remaining complaint. Nor is notification limited simply to a telephone call or email, since formal dated and written notification requirements apply. The provision also uses a ten-business-day period in relation to a complainant refusing or failing to respond to a referral-not a
30-day appeal period. Therefore, option B accurately reflects the prescribed complaint-handling procedure.
NEW QUESTION # 119
If a financial institution breaches the regulations relating to terrorist financing, what is the maximum administrative penalty that can be imposed for each violation?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations sets out a range of administrative sanctions that may be imposed on financial institutions and designated non-financial businesses and professions that violate the AML/CFT legislation. These sanctions include warnings, restrictions on individuals working within the relevant sector, limitations on the powers of directors or senior management, and financial penalties. For each violation concerning money laundering or terrorist financing requirements, the administrative financial penalty may range from AED 50,000 up to AED 5,000,000 . The amount imposed will depend on the nature and seriousness of the breach and the supervisory authority's assessment of the circumstances. This administrative sanction must be distinguished from criminal penalties that may apply where a person actually commits terrorist financing or money laundering. The question asks specifically for the maximum administrative penalty per violation , not a criminal fine. Therefore, AED 1 million, AED 2 million and AED 3 million are all below the prescribed maximum. The correct answer is AED 5 million.
NEW QUESTION # 120
What does the Authority usually do before deciding to delist a company's shares?
Answer: D
Explanation:
Before deciding to delist a company's shares, the regulatory authority typically follows a procedure designed to ensure that the company has an opportunity to rectify any issues. According to the CISI UAE Financial Rules and Regulations, the Authority usually issues an improvement notice of 30 days to the company. This notice outlines the deficiencies or non-compliance issues that the company needs to address in order to avoid delisting. The 30-day period allows the company time to correct the issues, such as failure to meet financial reporting requirements, governance standards, or other operational obligations. This approach ensures fairness and transparency before taking any drastic actions like delisting.
Reference: CISI UAE Financial Rules and Regulations - Delisting Procedures, Section 2.5.3 (2023).
NEW QUESTION # 121
The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
Answer: D
Explanation:
The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is 0.01 per barrel. This means that the price can move in increments of 1 cent per barrel, which is standard for most futures contracts of this type. The minimum price movement allows for a high degree of price discovery and liquidity in the market, as traders can make smaller adjustments to their positions. This is a crucial aspect of trading in commodities, where price fluctuations can have significant financial implications.
Reference: CISI UAE Financial Rules and Regulations - WTI Light Sweet Oil Futures, Section 7.2.1 (2023).
NEW QUESTION # 122
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
Answer: C
Explanation:
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).
NEW QUESTION # 123
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