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| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
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NEW QUESTION # 26
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: D
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 # 27
If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?
Answer: C
Explanation:
If a discrepancy is identified during an external reconciliation process, the firm is required to investigate and correct it as soon as possible. The CISI UAE Financial Rules and Regulations emphasize that discrepancies, whether in financial data or operational procedures, must be thoroughly examined to determine the root cause and rectified promptly. Immediate corrective action helps to ensure that financial statements and other reports remain accurate and reliable, preventing any further errors or compliance issues. While it may be necessary to inform the regulator or suspend operations in extreme cases, the first priority is to address the discrepancy through investigation and correction.
Reference: CISI UAE Financial Rules and Regulations - Reconciliation and Error Resolution, Section 8.1.4 (2023).
NEW QUESTION # 28
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 # 29
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations require that investors in crypto assets be promptly notified in advance of any material change in the nature of the software relevant to the assets. This advance notification is crucial to allow investors to make informed decisions regarding their holdings before changes take effect.
Material changes could affect functionality, security, or value of the crypto asset. The regulation promotes transparency and investor protection by ensuring timely and clear communication, preventing investors from being blindsided by unexpected developments. The requirement aligns with international best practices on disclosure for crypto asset issuers.
Reference: CISI UAE Financial Rules and Regulations - Legislation and Practice, Crypto Asset Regulation, Section 7.2.1 (2023).
NEW QUESTION # 30
To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?
Answer: A
Explanation:
A big block deal on the ADX's E-Trading system must involve securities that are at least 1.0% of the issuer's capital. This threshold ensures that large transactions, which could significantly affect the stock's market price, are categorized appropriately as big block deals. The rule helps to distinguish between regular trades and larger institutional trades, which often have different liquidity and market impact considerations. This also provides transparency for market participants regarding the size and nature of the transaction.
Reference: CISI UAE Financial Rules and Regulations - Big Block Deal Requirements on ADX, Section
6.1.2 (2023).
NEW QUESTION # 31
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