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| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - Disclosure and Transparency - General background |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% | |
| Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - SCA Resolutions - Securities & Commodities Authority (SCA) - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Client Protection | 10% |
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NEW QUESTION # 161
If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
Answer: C
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 # 162
An introducer approved by the Authority is obliged to obtain further approval before:
Answer: D
Explanation:
Under the CISI UAE Financial Rules and Regulations, an introducer is a corporate entity approved by the Securities and Commodities Authority to introduce potential clients to firms providing financial activities or services. Once approved, the introducer remains subject to six specific obligations. These include disclosing the introduction procedures and any commissions receivable, disclosing its relationship with each party, refraining from providing financial consultation or analysis unless separately licensed, and not receiving clients' funds, assets, orders or requests other than properly disclosed commissions. Crucially, an introducer must obtain the Authority's approval before conducting any introduction business outside the UAE. Receiving a disclosed commission is expressly contemplated by the rules and therefore does not itself require a new approval. Nor do ordinary introductions to legal entities or requests for legitimate referrals create the specific approval requirement tested here. The territorial extension of introduction activities outside the UAE is the regulatory trigger. Therefore, option B correctly reflects the CISI requirement.
NEW QUESTION # 163
A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:
Answer: B
Explanation:
Under Federal Law No. 20 of 2018 and the CISI UAE Financial Rules and Regulations, entities failing to report suspicions of money laundering or exhibiting gross negligence in their anti-money laundering (AML) processes are subject to severe financial penalties. The fine ranges from no less than AED 100,000 and no more than AED 5,000,000. These substantial fines are intended to enforce strict compliance with AML obligations and deter negligence or complicity in money laundering activities. This penalty framework ensures organizations maintain robust internal controls, timely reporting, and staff training to identify and report suspicious activities effectively, thereby protecting the UAE's financial system.
Reference: CISI UAE Financial Rules and Regulations - AML Enforcement and Penalties, Section 8.5.2 (2023).
NEW QUESTION # 164
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
Answer: A
Explanation:
The CISI rules governing securities pledges require a pledge request to be submitted using the prescribed form and to contain minimum information enabling the CSD Department to identify the securities, the parties and the economic rights connected with the pledge. The required information includes the creditor on mortgage, the debtor on mortgage who owns the securities, details identifying the securities subject to the pledge-including the issuing company and quantity-and the party entitled to the profits generated by those securities. The entitlement to profits is particularly significant because dividends or other distributions may arise while securities remain pledged, and the CSD must know whether those economic benefits belong to the investor or the pledgee. Although a pledging period may appear in particular market pledge instructions, the CISI examination provision identifying the minimum information on the relevant CSD pledge request specifically includes the party entitled to profits. The reason for the pledge and an agreed default option are not among the stated minimum particulars tested here. Therefore, option C is correct.
NEW QUESTION # 165
The summary of an in-kind shares evaluation report must state the:
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations specifies mandatory information that must appear in the summary of an in-kind shares evaluation report. The summary must disclose the fair value of the evaluated asset , together with confirmation concerning whether obligations, debts, mortgages, rights or other guarantees are charged over that asset in favour of third parties. It must also identify the valuation methodologies used by the evaluator to determine fair value in accordance with professionally recognised principles appropriate to the asset concerned. Fair value is central because the valuation determines the economic value attributed to the in-kind contribution and consequently affects the number and value of investment-fund units issued in exchange for that contribution. The book value may differ materially from current economic value and is therefore not the specified disclosure tested here. Although information concerning the evaluator and its independence is relevant elsewhere in the regulatory framework, neither the evaluator's qualifications nor the name of the evaluator's company substitutes for the mandatory fair-value disclosure. Accordingly, option B is correct.
NEW QUESTION # 166
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