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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 2: Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 3: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Topic 4: Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Topic 5: Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Topic 6: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Topic 7: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
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NEW QUESTION # 187
If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
Answer: A
Explanation:
The Dubai Financial Market (DFM) utilizes precise rules to calculate the theoretical auction price during pre- closing sessions to ensure market transparency and fairness. According to the CISI UAE Financial Rules and Regulations and DFM official trading manuals, when the mid-point price is used in price determination, it is roundedupto the nearest price tick. This rounding mechanism ensures consistency in pricing and avoids fractional pricing issues that could disrupt the matchingof buy and sell orders. The concept of a price tick is a minimum price movement allowed in trading, defined by the market's tick size schedule. By rounding up, the market supports price stability and protects sellers during the auction process. This is explicitly stated in DFM' s trading rules section regarding auction price calculation and tick size adjustments.
Reference:CISI UAE Financial Rules and Regulations - Dubai Financial Market Rules, Auction Price Determination, Section 5.2.3 (2023).
NEW QUESTION # 188
Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?
Answer: C
Explanation:
For foreign politically exposed persons (PEPs), CISI UAE Financial Rules and Regulations require that firms undertake rigorous customer due diligence, including attempting to establish the source of funds. Establishing the legitimacy and origin of funds is crucial to prevent illicit money laundering and terrorism financing. While risk/benefit analyses and regulatory approvals are important, the direct verification of fund sources is a primary control measure against financial crimes involving PEPs. Checking watchlists like Interpol's is supplementary but not sufficient alone. This requirement safeguards the financial system and aligns with Federal Law No. 20 of 2018's anti-money laundering mandates.
Reference: CISI UAE Financial Rules and Regulations - AML Controls and PEP Risk Management, Section
8.2.9 (2023).
NEW QUESTION # 189
Brokers have a number of obligations in relation to client orders, including:
Answer: A
Explanation:
The CISI rules governing client orders require brokers to manage conflicts of interest and ensure fair treatment of clients. If a broker has an interest in a transaction being executed for a client, or another connection to the transaction that could create a conflict, the broker must take appropriate steps to protect the client, including disclosing its interest. The client must then be given the opportunity to refuse the transaction.
Option B therefore most accurately describes a direct obligation placed on the broker. Option A is incorrect because a broker must generally ensure that a client owns securities before a sell order is entered unless the transaction qualifies under the applicable short-selling regulations. Option C is also incorrectly framed: where an order breaches law or regulation, it is the ADX that has the right to order the broker to resell or repurchase securities to restore the previous position. For buy orders, clients normally must pay before execution unless specified exceptions apply. Accordingly, the correct answer is B.
NEW QUESTION # 190
The minimum price movement for an MSCI India Index Futures (INR) contract is:
Answer: D
Explanation:
The Dubai Gold & Commodities Exchange specifications for MSCI India Index Futures (INR) distinguish between contract size, minimum price movement and tick value. Under the contract specification, the contract size is 25 index points multiplied by price , while the minimum price movement is 0.5 index points . The associated tick value is US$12.50. These measures should not be confused: the minimum price movement defines the smallest permitted change in the quoted futures price, whereas the tick value expresses the corresponding monetary change in the value of one contract. The current DGCX By-Laws confirm the 0.5- index-point minimum, and the CISI UAE Financial Rules and Regulations training material states the same specification in its section covering MSCI India Index Futures. US$0.01 and US$1.00 are therefore not the prescribed minimum quotation increments, and 0.25 index points is also incorrect. The correct minimum price movement is 0.5 index points, so option A is the verified answer.
NEW QUESTION # 191
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
Answer: D
Explanation:
According to CISI UAE Financial Rules and Regulations, if a client holds a debit balance with a brokerage firm on the Dubai Financial Market (DFM), the firm is prevented from accepting new orders from that client until the debit balance is cleared. This measure protects both the brokerage firm and market integrity by ensuring that clients do not accumulate unpaid debts from trading activities, thereby reducing credit risk. The restriction applies specifically to new orders; other services such as providing advice or selling securities may continue under certain conditions.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Debit Balance Controls, Section 4.4.12 (2023).
NEW QUESTION # 192
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