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| Section | Weight | Objectives |
|---|---|---|
| Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Dubai Financial Market (DFM) | 11% | |
| Trading | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Client Protection | 10% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - SCA Resolutions |
| Markets | 11% | - General background - Disclosure and Transparency |
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NEW QUESTION # 71
Under what circumstances, if any, may financial analysts commit to providing favourable research coverage to issuers of securities?
Answer: A
Explanation:
The investment-research rules contained in the CISI UAE Financial Rules and Regulations are designed to protect the independence and objectivity of research and prevent conflicts of interest. A firm producing investment research must maintain arrangements preventing financial analysts and other relevant persons from allowing commercial interests to compromise the research process. Among the explicit restrictions, the firm and persons involved in producing research must not accept inducements from parties with a material interest in its subject matter, and financial analysts may not promise issuers favourable research coverage
. This is an outright prohibition rather than a rule subject to exceptions based on fees, corporate-group relationships or confidentiality agreements. Allowing an issuer to secure favourable coverage would undermine research independence and potentially mislead investors who rely on research recommendations.
Restrictions also apply to dealing ahead of unpublished research and to issuer review of drafts containing recommendations or target prices. Consequently, none of the circumstances described in options A, B or C permits a commitment to favourable coverage. Therefore, option D is correct.
NEW QUESTION # 72
When establishing a local investment fund, how much are the founders required to subscribe?
Answer: B
Explanation:
When establishing a local investment fund in the UAE, the founders are required to subscribe a minimum amount to demonstrate commitment and to comply with the legal and financial requirements set by the Securities and Commodities Authority (SCA). The minimum required subscription is at least 10 million dirhams. This ensures that the fund has a solid financial base, contributing to its credibility and ability to cover initial operational and management expenses. The founders' subscription also serves to align their interests with those of potential investors and provides an assurance of the fund's viability and long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Fund Formation Requirements, Section 6.1.2 (2023).
NEW QUESTION # 73
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: B
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 # 74
A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:
Answer: B
Explanation:
As per the CISI UAE Financial Rules and Regulations, firms involved in custody, clearing, and recording services must have a minimum paid-up capital of AED 100 million. This capital requirement ensures that firms in this category have sufficient financial resources to manage the risks associated with their operations, which include handling clients' assets, ensuring compliance with financial regulations, and absorbing potential operational or financial losses. The higher capital threshold also enhances the stability and credibility of such firms, making them more resilient to market fluctuations and operational challenges.
Reference: CISI UAE Financial Rules and Regulations - Capital Requirements for Custody, Clearing, and Recording Firms, Section 7.3.2 (2023).
NEW QUESTION # 75
The written agreement between a crypto asset custodian and the holders of these assets must set out the procedures that will be adopted to identify and prevent:
Answer: A
Explanation:
Crypto asset custodians are subject to detailed controls designed to safeguard client assets and prevent operational errors or unauthorised transactions. The CISI UAE Financial Rules and Regulations expressly requires a custodian to adopt procedures that identify and prevent the execution of multiple instructions in respect of the same transaction approved by a client . The custodian must enter into a signed written agreement with every holder whose crypto assets it safeguards, with that agreement specifying the custodian's relevant duties and obligations. Other safeguards include segregating client assets from the custodian's property, keeping accurate ownership records, controlling cryptographic keys, maintaining transaction logs and ensuring that no single individual can completely authorise actions over client crypto assets. The rules do not prohibit employees from having any access to cryptographic keys; rather, they prevent unilateral complete control by one person. Nor is this provision designed to bar non-qualified investors from ownership. The particular procedure identified in the question is prevention of duplicate execution instructions for the same transaction. Consequently, option B is correct.
NEW QUESTION # 76
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