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| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 10% | |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Federal Law No. 4 of 2000 - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Trading | 11% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Markets | 11% | - Disclosure and Transparency - General background |
| Dubai Financial Market (DFM) | 11% |
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NEW QUESTION # 83
In a ranking and advice firm, which approved job role would undertake the activities of a listing consultant?
Answer: A
Explanation:
Ranking and Advice constitutes the fifth category of financial-activity licensing under the CISI UAE Financial Rules and Regulations. Within this category, the principal functions expected at firm level include a Category Manager or Official, Compliance Officer and Risk Management Officer. The rules then separately identify each regulated financial activity and the approved professional job associated with that activity. For Financial Consulting , Financial Consultant (Issue Manager) and Listing Consultant , the approved job is Financial Analyst . Promotion, by contrast, is associated with a Promotion Manager. A Trading and Clearing Broker and Broker Representative belong to securities brokerage and dealing functions rather than the Ranking and Advice category. Although a Compliance Officer is a principal control function within a Category 5 firm, that officer does not perform the regulated Listing Consultant activity simply by virtue of holding the compliance role. The CISI table explicitly maps Listing Consultant to Financial Analyst.
Consequently, option D is the only answer consistent with the approved-jobs framework.
NEW QUESTION # 84
A licensed body submitted a requested document to the Authority and a short time later noticed that it was incomplete. How soon must it notify the Authority of this issue?
Answer: C
Explanation:
Licensed bodies are subject to continuing obligations regarding information and documentation supplied to the Securities and Commodities Authority and other capital-market institutions. The CISI material requires a licensed body to notify the relevant entity immediately after discovering that information or documents previously submitted are incorrect, misleading, incomplete, inaccurate, outdated or have subsequently changed. The licensed body should identify the affected information or documents and explain the reason for the deficiency or change. This requirement protects the integrity of regulatory supervision because the Authority makes licensing, compliance and enforcement decisions using information submitted by regulated entities. Allowing inaccurate or incomplete material to remain uncorrected could undermine that supervisory process. The obligation is deliberately framed as an immediate notification requirement rather than allowing a fixed 48-hour, 72-hour or end-of-week correction period. The licensed body must also retain sufficient evidence showing that requested information and documents were properly delivered or submitted.
Consequently, once the firm discovers that the requested document was incomplete, it must notify the Authority immediately. Therefore, option A is correct.
NEW QUESTION # 85
Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:
Answer: C
Explanation:
Under the CISI UAE Financial Rules and Regulations, brokers are required to submit regular statements of account to clients. These statements must include the client's balance of securities and cash, as well as details of all transactions executed. The statement must be submitted on a monthly basis, unless a different arrangement is specifically agreed upon between the broker and the client. This ensures transparency, allowing clients to stay informed about their investment portfolios and the status of their accounts. Regular monthly reporting is a fundamental requirement for protecting client interests and ensuring that financial institutions operate with the highest standards of accountability and client service.
Reference: CISI UAE Financial Rules and Regulations - Client Account Statements, Section 4.5.2 (2023).
NEW QUESTION # 86
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
Answer: D
Explanation:
Under CISI UAE Financial Rules and Regulations, risk management is among the prescribed financial activities for which the Securities and Commodities Authority (SCA) issues licenses. Licensing ensures that entities engaging in financial risk assessment and mitigation services meet regulatory standards related to expertise, governance, and compliance. Activities such as analysis, promotion, and corporate planning are not independently licensable financial activities but may be ancillary functions within licensed firms. The licensure of risk management activities supports market stability and investor protection by formalizing oversight of critical financial functions.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Licensing, Section
3.1.2 (2023).
NEW QUESTION # 87
What minimum level of annual income must a natural person classed as a qualified investor receive?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations defines a qualified investor as a natural or legal person considered sufficiently knowledgeable and financially capable of managing investment risk. For a natural person to satisfy the relevant classification, the CISI material identifies three conditions. First, the individual's net equity, excluding the value of their main residence, must amount to AED 4 million . Second, the individual must receive annual income of not less than AED 1 million . Third, the person must declare that they possess adequate knowledge and experience concerning the investment activity and its risks, or be represented appropriately by an entity licensed by the Authority. The question asks specifically about annual income, not the net-equity threshold. This distinction is important because AED 4 million appears in the same definition but applies to wealth rather than yearly income. AED 2 million and AED 3 million are not the prescribed annual-income thresholds. Consequently, the minimum annual income required for the natural- person qualified-investor classification is AED 1 million, making option A correct.
NEW QUESTION # 88
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