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| Section | Weight | Objectives |
|---|---|---|
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
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NEW QUESTION # 94
The Authority suspects a person offering crypto assets of violating regulations and wants to examine the firm's computer systems, computer equipment and data traffic. Which of these does it have the power to access and inspect?
Answer: B
Explanation:
The Authority possesses extensive inspection and supervisory powers in relation to persons involved in regulated crypto-asset offerings and related licensed activities. Under the relevant SCA regulation, the Authority may conduct periodic or unannounced supervision, control and inspection to determine whether offering persons, responsible parties and licensed persons comply with the applicable regulatory framework.
These powers expressly extend to inspecting or accessing computer systems, computer data, computer data traffic and equipment where relevant information is stored. The provision enables the Authority to investigate suspected violations using the complete technological environment in which regulated crypto-asset activities are conducted. Limiting inspection to only systems and equipment, equipment and traffic, or systems and traffic would exclude categories specifically included within the Authority's regulatory powers.
The breadth of the provision is especially important for crypto-asset activities because transactions, records, communications and operational controls may exist primarily in electronic form. Consequently, all three items identified in the question-systems, equipment and data traffic-fall within the Authority's inspection powers. Therefore, option D is correct.
NEW QUESTION # 95
Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:
Answer: C
Explanation:
Under UAE's Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) regulations, revealing or notifying a person about suspicions of money laundering or disclosing any transaction under review is classified as 'tipping off'. The act of tipping off is prohibited and criminalized under the UAE's AML/CFT laws, as it can obstruct investigations and alert potential wrongdoers, allowing them to take steps to conceal illicit activities. This is a key part of maintaining the integrity of AML regulations, as it prevents individuals from undermining the enforcement process. Firms and individuals are strictly prohibited from warning clients or revealing details about investigations in order to protect the confidentiality and effectiveness of the review process.
Reference: CISI UAE Financial Rules and Regulations - Tipping Off and AML Compliance, Section 9.7.3 (2023).
NEW QUESTION # 96
A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
Answer: C
Explanation:
On the Dubai Financial Market (DFM), a good-till-cancelled (GTC) order remains active and available for execution until explicitly cancelled by the investor who placed it. This means the investor maintains control over the order's lifespan, allowing it to persist through trading sessions unless they choose to withdraw it.
Brokers or clearing members do not have authority to unilaterally cancel GTC orders, ensuring investor autonomy. The market committee also does not intervene in the cancellation of individual orders under normal circumstances. This design supports investor flexibility and orderly market functioning.
Reference: CISI UAE Financial Rules and Regulations - Trading Rules and Order Management, Section
7.3.2 (2023).
NEW QUESTION # 97
Where an existing public company wants to issue further shares via a rights issue, this must be announced at least what minimum period before the start date of the subscription?
Answer: D
Explanation:
The UAE rules governing capital increases by public joint-stock companies establish specific disclosure requirements for rights offerings. According to the CISI UAE Financial Rules and Regulations material, a rights issue must be announced at least 20 business days before the subscription period begins. The advance notice gives existing shareholders sufficient time to assess the proposed capital increase and determine whether to exercise, sell or otherwise deal with their subscription rights. The announcement is expected to provide material details such as the amount and percentage of the capital increase, the exercise price of the rights, the opening and closing dates for trading the rights, and the opening and closing dates for subscribing to the new shares. The rights themselves are traded separately from the existing shares for the prescribed trading period. The alternatives of 28 or 56 calendar days and 40 business days do not represent the minimum announcement period specified in the CISI material. Therefore, the required minimum advance announcement period is 20 business days, making option A correct.
NEW QUESTION # 98
Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in- kind share transfer?
Answer: A
Explanation:
The CISI requirements for evaluators of investment-fund in-kind shares prescribe both regulatory approval and relevant professional experience. An evaluator must have obtained the appropriate licence or approval from the competent authority in the State for evaluation activities. In addition, the evaluator must possess at least five years' experience in the evaluation field generally and at least three years' experience in evaluating the particular type of asset being provided as an in-kind share. The evaluator must also be completely independent and must not have joint interests with the fund founders or other relevant parties. Furthermore, an auditor or financial adviser acting for the same fund cannot undertake the evaluation of the in-kind shares for that fund. Of the answers supplied, option A directly reflects the specific experience requirement relating to the asset being evaluated. The CISI provision does not state that the evaluator merely needs to appear on a provisional Authority list, be an accountant or auditor, or satisfy the requirement simply by signing a declaration of impartiality. Therefore, A is the correct answer.
NEW QUESTION # 99
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