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| Section | Weight | Objectives |
|---|---|---|
| Trading | 11% | |
| Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Client Protection | 10% | |
| The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - 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) - Codes of Conduct - SCA Resolutions - Securities & Commodities Authority (SCA) |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Markets | 11% | - General background - Disclosure and Transparency |
| Dubai Financial Market (DFM) | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
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NEW QUESTION # 31
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations sets out specific operational responsibilities for the Depository Centre following approval of a security's listing. Within one week from approval of the listing, the Depository Centre must install a terminal device for the registrar of the listed entity. The terminal enables the registrar to access the register, make necessary inquiries and perform required updates. Related rules also require the issuer, within one week of listing approval, to provide the Depository Centre with an up-to-date copy of its shareholder register and subsequently update it whenever necessary. These arrangements ensure that ownership information maintained by the Depository Centre remains accurate and current. This is particularly important because Depository Centre records provide legal evidence of securities ownership and support rights such as voting, dividends and bonus-share entitlements. The prescribed period is therefore one week, not three days, 15 days or three weeks. Accordingly, the maximum period specified in the CISI material for installation of the terminal device is one week, making option B correct.
NEW QUESTION # 32
If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, when in-kind shares are provided at fund inception and the subscription fails, the founders bear the related expenses in the absence of any special agreement. This allocation reflects the founders' responsibility in establishing and capitalizing the fund and absorbing initial setup costs, including those related to failed subscriptions. Share providers, auditors, or evaluators are not typically liable for such expenses unless contractual terms explicitly assign such responsibility. This regulatory stance encourages clarity and accountability in fund founding arrangements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Incorporation and Expense Allocation, Section 6.2.11 (2023).
NEW QUESTION # 33
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
Answer: C
Explanation:
Sponsors of companies applying to become Special Purpose Acquisition Companies (SPACs) in the UAE must prepare detailed proposals that specifically address the management of conflicts of interest. This is mandated under CISI UAE Financial Rules and Regulations to ensure that the SPAC's activities remain transparent and investors' interests are protected. Conflicts of interest may arise from the sponsors' dual roles or relationships with target companies or investors. Addressing these conflicts proactively through proposals and policies supports integrity and market confidence. While risk reduction and anti-money laundering are critical, the regulations explicitly highlight conflict management as a core area for SPAC sponsors.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, SPAC Sponsorship Requirements, Section 6.3.4 (2023).
NEW QUESTION # 34
What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
Answer: D
Explanation:
Under Federal Law No. 20 of 2018 and relevant CISI UAE Financial Rules and Regulations, the maximum term of imprisonment for a person who attempts to commit the crime of money laundering is five years. The law imposes stringent penalties to deter money laundering activities and ensure the integrity of the UAE's financial system. In addition to imprisonment, offenders may also face fines and asset confiscation. This punitive framework is designed to align with international AML standards, emphasizing the seriousness with which the UAE treats attempts to launder money, whether successful or not.
Reference: CISI UAE Financial Rules and Regulations - AML Criminal Sanctions, Section 8.4.3 (2023).
NEW QUESTION # 35
Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
Answer: B
Explanation:
UAE anti-money laundering regulations impose an explicit prohibition on financial institutions and designated non-financial businesses and professions (DNFBPs) dealing with shell banks. A shell bank is particularly problematic from an AML/CFT perspective because it typically lacks a meaningful physical presence and may not form part of an adequately regulated financial group. Such institutions can therefore be exploited to disguise beneficial ownership, obscure the movement of criminal proceeds or facilitate transactions outside effective regulatory supervision. The applicable UAE rules require relevant institutions to refrain from dealing with shell banks in any manner, including opening accounts for them or accepting funds or deposits from them. The prohibition does not apply merely because an organisation is structured as a mutual co-operative, benefit corporation or legitimate non-profit organisation; such entities may instead be subject to their own risk-based customer due diligence and monitoring requirements. The distinguishing regulatory prohibition in this question is therefore the dealing ban applicable to shell banks. Accordingly, option A is correct.
NEW QUESTION # 36
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