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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 2: Trading | 11% | |
| Topic 3: Dubai Financial Market (DFM) | 11% | |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: Client Protection | 10% | |
| Topic 6: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 7: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 8: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct |
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NEW QUESTION # 98
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
Answer: D
Explanation:
The DFM Professional Code of Conduct imposes a specific restriction on brokerage firms concerning market data and information about entities whose securities are listed on the exchange. A brokerage firm must not publish or promote market data or information concerning the status of a listed entity unless the information has first been verified and made public by the concerned entity . This prevents brokers from distributing unconfirmed, selective or prematurely disclosed information that might influence prices or create information asymmetry between investors. The rule complements broader DFM obligations requiring brokerage firms to act honestly and fairly and to avoid misleading conduct. The broker does not need a separate publication approval from the Authority for every item falling within this rule. Signing a conflict-of-interest disclaimer does not convert unpublished information into permissible market data, and assessing the information's potential impact is not the regulatory trigger allowing publication. The decisive condition is that the information has been verified and publicly disclosed by the entity concerned. Accordingly, option B is correct.
NEW QUESTION # 99
Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?
Answer: B
Explanation:
A Special Purpose Acquisition Company (SPAC) must complete a prescribed sequence of regulatory and market procedures when conducting its public offering. After the required subscription and registration procedures have been completed and the applicable registration fee has been paid, the Authority issues the SPAC's registration certificate. The CISI UAE Financial Rules and Regulations then imposes a short deadline for the next stage. Within three business days from the date of the registration certificate , the SPAC must submit its request to the relevant market to list the shares and warrants it has issued in accordance with the applicable listing requirements. After listing, the SPAC becomes subject immediately to the Authority's corporate governance requirements applicable to listed public joint-stock companies. This three-business-day requirement should not be confused with other SPAC deadlines, such as the period for depositing the prospectus before subscription, publication of the subscription invitation, or the permitted duration of the subscription period itself. Since the question specifically concerns the post-registration listing request, the correct answer is three business days, option C.
NEW QUESTION # 100
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Answer: C
NEW QUESTION # 101
The minimum paid-up capital requirement for credit rating agencies is:
Answer: D
Explanation:
Under the licensing framework covered by the CISI UAE Financial Rules and Regulations, credit rating agencies fall within the fourth licence category . The minimum paid-up capital requirement for this category is AED 5 million . This is considerably lower than the capital requirements applying to several other categories because the prudential risks associated with credit-rating activity differ from those created by securities dealing, investment management, custody or clearing. The CISI material's licence-category summary specifies AED 30 million for dealing in securities, AED 50 million for dealing in investment, AED
50 million for custody, clearing and recording, AED 5 million for credit rating agencies, and no minimum capital requirement for the fifth category of arrangement and advice in the version covered by the study material. Consequently, AED 10 million, AED 30 million and AED 50 million do not represent the capital requirement applicable specifically to credit rating agencies. The CISI multiple-choice answer section independently confirms AED 5 million for Category 4. Therefore, option A is correct.
NEW QUESTION # 102
Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
Answer: C
Explanation:
CISI UAE Financial Rules and Regulations recognize the concept of a Chinese wall, which permits employees in one part of a regulated business to withhold certain information from employees in other parts.
This internal information barrier is designed to prevent conflicts of interest and insider trading by restricting the flow of sensitive or non-public information between departments. By implementing Chinese walls, firms ensure compliance with legal and regulatory requirements, uphold market integrity, and protect client interests. While audit requests and privacy concerns are valid, the primary regulatory rationale for withholding information internally is to maintain effective Chinese walls.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Information Barriers, Section 3.4.10 (2023).
NEW QUESTION # 103
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