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| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
>> UAE-Financial-Rules-and-Regulations受験記 <<
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質問 # 82
What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?
正解：B
解説：
The Clearing, Settlement and Depository Department (CSD Department) at the Abu Dhabi Securities Exchange maintains electronic records relating to ownership and transfer of listed securities. An issuer wishing to list its securities must provide the ADX with its shareholders' register, including shareholder details, balances and relevant ownership restrictions. The issuer remains responsible for ensuring that the information supplied is complete, valid and accurate. After the shareholders' register has been uploaded onto the ADX's electronic systems, the CISI UAE Financial Rules and Regulations specifically states that the CSD Department sends a copy of the electronic register to the issuer for reconciliation purposes .
Reconciliation enables the issuer to compare the electronic CSD record with its own information and identify inconsistencies before they affect ownership records or corporate actions. The procedure does not require issuing registration slips to every shareholder, notifying the Authority simply that uploading has occurred, or immediately storing an off-site disaster-recovery copy as the next prescribed step. Therefore, option C is correct.
質問 # 83
Which of the following does the Authority require licensed bodies to do in respect of close ties with other firms?
正解：B
解説：
The Authority requires licensed bodies to ensure that ownership, management or other close relationships with third parties do not interfere with effective regulatory supervision. Under the CISI UAE Financial Rules and Regulations, a licensed body must notify the Authority of any close ties and ensure that those ties will not impede the Authority's supervision and control. The person or entity with whom the close relationship exists must also satisfy applicable efficiency and appropriateness standards, and the licensed body must be prepared to supply documentation and information concerning the relationship whenever requested. If the Authority concludes that a close tie is inconsistent with licensing requirements or may obstruct supervision, it may require the relationship to be amended or terminated and may impose appropriate sanctions for non- compliance. The rule does not state that every close tie requires prior approval, nor does it restrict close ties exclusively to capital-market firms or branches of the same organisation. The operative obligation is notification combined with preservation of effective regulatory oversight. Therefore, option A is correct.
質問 # 84
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
正解：A
解説：
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit 100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection.
This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).
質問 # 85
When establishing a local investment fund, how much are the founders required to subscribe?
正解：B
解説：
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).
質問 # 86
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
正解：A
解説：
According to CISI UAE Financial Rules and Regulations, applicants utilizing cloud-based servers must demonstrate that their outsourced service providers have provisions in place to guarantee zero data loss for a minimum of five years. This requirement protects the integrity and availability of critical financial data over the regulatory retention period. The five-year timeframe aligns with data retention standards for audit, compliance, and operational continuity in the UAE financial sector, ensuring that regulatory bodies and firms can access historical information for supervisory purposes.
Reference: CISI UAE Financial Rules and Regulations - IT and Data Management Requirements, Section
3.5.7 (2023).
質問 # 87
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P.S.JapancertがGoogle Driveで共有している無料の2026 CISI UAE-Financial-Rules-and-Regulationsダンプ：https://drive.google.com/open?id=1YbfrN0yl6wjVsGaWGk08D9ULedutKgb4