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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 assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| 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 - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
>> UAE-Financial-Rules-and-Regulations測試引擎 <<
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問題 #51
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
答案：C
問題 #52
An application for conciliation has been submitted to the Authority. Within what maximum time following receipt must a decision be made?
答案：B
解題說明：
Conciliation provides a mechanism through which the Authority can suspend procedures for initiating a criminal prosecution for certain specified offences and instead resolve the matter through the prescribed conciliation procedure. The process begins when the violator submits a completed application to the Authority before the criminal case has been referred to court. The application must use the prescribed form and contain the required information and supporting documents. A committee established within the Authority then considers the application and reaches its decision by majority. Under the CISI UAE Financial Rules and Regulations, the committee must consider and decide upon the completed conciliation application within 15 working days from the date it is received. During this period, procedures for initiating the criminal case are suspended until the committee reaches its decision. The committee may approve or reject the request according to the public interest. The prescribed period is therefore neither ten working days nor one or two months. Consequently, option B accurately states the maximum decision period.
問題 #53
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
答案：B
解題說明：
According to CISI UAE Financial Rules and Regulations, applicants for a financial activities licence must ensure that their record-keeping systems allow for recovery of electronic records from archives within a maximum period of three business days. This requirement ensures timely access to data necessary for audits, investigations, and regulatory reviews. The three-business-day timeframe balances operational feasibility with regulatory needs for responsiveness and data integrity, supporting transparency and compliance in the UAE financial sector.
Reference: CISI UAE Financial Rules and Regulations - Record-Keeping and Data Recovery Procedures, Section 3.5.10 (2023).
問題 #54
What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?
答案：C
解題說明：
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.
問題 #55
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
答案：C
解題說明：
The DFM Professional Code of Conduct imposes a specific restriction on brokerage firms concerning market data and information about entities whose securities are listed on the exchange. A brokerage firm must not publish or promote market data or information concerning the status of a listed entity unless the information has first been verified and made public by the concerned entity . This prevents brokers from distributing unconfirmed, selective or prematurely disclosed information that might influence prices or create information asymmetry between investors. The rule complements broader DFM obligations requiring brokerage firms to act honestly and fairly and to avoid misleading conduct. The broker does not need a separate publication approval from the Authority for every item falling within this rule. Signing a conflict-of-interest disclaimer does not convert unpublished information into permissible market data, and assessing the information's potential impact is not the regulatory trigger allowing publication. The decisive condition is that the information has been verified and publicly disclosed by the entity concerned. Accordingly, option B is correct.
問題 #56
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