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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Topic 2: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Topic 3: Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Topic 4: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Topic 5: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Topic 6: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Legal obligations of market participants - Securities laws and regulations |
| Topic 7: Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
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NEW QUESTION # 158
One of the financial activities included within "dealing in investment" and expected to be conducted by a Financial Analyst is:
Answer: A
Explanation:
The second SCA licence category is Dealing in Investment . The CISI UAE Financial Rules and Regulations identifies the principal functions for firms in this category as Category Manager or Official, Compliance Officer, Risk Management Officer and Investment Operations Manager. It then distinguishes the underlying financial activities and the approved jobs associated with them. The activities include managing investment funds' investments, managing securities portfolios and providing administrative services for investment funds.
For investment-management activities, approved positions include Fund Investment Manager or Portfolio Manager, Principal Financial Analyst and Financial Analyst . Therefore, managing securities portfolios is an activity within the Dealing in Investment category for which the Financial Analyst role is relevant. Trading brokerage and securities dealing instead belong to the first licence category, Dealing in Securities.
Administrative services for investment funds is included in Category 2, but the CISI table records no corresponding Financial Analyst approved job for that activity. Consequently, option C is the only response combining the correct regulated activity with the Financial Analyst role.
NEW QUESTION # 159
Customer due diligence measures require management approval if the natural person involved is:
Answer: D
Explanation:
Federal Law No. 20 of 2018 and related CISI UAE Financial Rules specify that enhanced customer due diligence procedures require management approval when the client is a politically exposed person (PEP).
PEPs present higher risks due to their potential access to public funds and influence, increasing vulnerability to corruption or money laundering. Management approval ensures senior oversight in onboarding and monitoring PEP clients, aligning with international AML/CTF best practices. Other conditions such as residency or age do not mandate this elevated level of scrutiny. This regulatory requirement enhances governance and mitigates reputational and compliance risks associated with politically exposed persons.
Reference: CISI UAE Financial Rules and Regulations - AML Regulations, Enhanced Due Diligence, Section 8.1.7 (2023).
NEW QUESTION # 160
What additional rule applies to a venture capital fund once the value of its managed assets reaches AED 180 million?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations distinguishes venture capital funds according to whether their managed assets are below or at least AED 180 million. For a venture capital fund whose managed assets reach AED 180 million or more, the CISI study material states that the fund must prepare an annual report in accordance with International Financial Reporting Standards (IFRS), appoint a Risk Management Officer, and ensure that its total exposure to risk does not exceed its net asset value. Consequently, the appointment of a Risk Management Officer is the additional regulatory requirement represented by the answer choices. The requirement is not to introduce a separate cash buffer, perform more frequent asset reconciliations, or produce quarterly IFRS statements. The reporting requirement specified by the CISI material is annual rather than quarterly. This enhanced governance treatment reflects the greater scale and potential risk exposure of a larger venture capital fund and introduces dedicated risk oversight once the AED 180 million threshold is reached.
Therefore, option D is the correct CISI examination answer.
NEW QUESTION # 161
Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
Answer: D
Explanation:
UAE anti-money laundering regulations impose an explicit prohibition on financial institutions and designated non-financial businesses and professions (DNFBPs) dealing with shell banks. A shell bank is particularly problematic from an AML/CFT perspective because it typically lacks a meaningful physical presence and may not form part of an adequately regulated financial group. Such institutions can therefore be exploited to disguise beneficial ownership, obscure the movement of criminal proceeds or facilitate transactions outside effective regulatory supervision. The applicable UAE rules require relevant institutions to refrain from dealing with shell banks in any manner, including opening accounts for them or accepting funds or deposits from them. The prohibition does not apply merely because an organisation is structured as a mutual co-operative, benefit corporation or legitimate non-profit organisation; such entities may instead be subject to their own risk-based customer due diligence and monitoring requirements. The distinguishing regulatory prohibition in this question is therefore the dealing ban applicable to shell banks. Accordingly, option A is correct.
NEW QUESTION # 162
The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:
Answer: A
Explanation:
According to CISI UAE Financial Rules and Regulations, the Securities and Commodities Authority (SCA) grants licences to operate crypto fundraising platforms only to legal persons that are exchanges licensed by the Authority within the UAE. This ensures that the entity has the appropriate regulatory oversight, infrastructure, and governance aligned with UAE financial laws. Sophisticated traders or qualified investors, as well as companies incorporated under Shariah law, do not meet the legal entity criteria for such licencing.
The requirement guarantees that fundraising platforms operate within a controlled and transparent environment, protecting investors and maintaining market integrity.
Reference: CISI UAE Financial Rules and Regulations - Crypto Asset Platforms Licensing, Section 7.1.5 (2023).
NEW QUESTION # 163
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