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| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - SCA Resolutions - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) |
| Dubai Financial Market (DFM) | 11% | |
| Client Protection | 10% | |
| Markets | 11% | - General background - Disclosure and Transparency |
| Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Trading | 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 # 45
When applying for an Authority licence to operate a crypto fundraising platform, the need to demonstrate the independence of its fundraising functions is required only if the operator:
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations specifically addresses the situation in which an operator of a crypto fundraising platform intends to conduct additional financial services activities. When this occurs, those other activities must be identified in the operator's licence application, together with details of the systems and controls established to preserve the independence of the fundraising function. The purpose is to prevent other regulated activities from interfering with fundraising obligations, governance arrangements, investor safeguards, and regulatory compliance. Therefore, the additional independence requirement is triggered by conducting financial services activities other than fundraising. Merely proposing to issue security tokens, being owned by another financial institution, or owning crypto assets does not constitute the stated trigger.
The CISI material also distinguishes platform operation from custody: a fundraising platform cannot hold crypto assets or money, or perform activities requiring a crypto-asset custodian licence, without obtaining the appropriate separate authorisation. Accordingly, option A precisely reflects the licensing condition described in the CISI syllabus.
NEW QUESTION # 46
In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:
Answer: C
Explanation:
According to the CISI UAE Financial Rules and Regulations under Client Protection provisions, when a client buys and sells securities within the same trading session (day trading), the client must maintain sufficient credit to cover the value of purchase in their cash account at the time of the transaction. This rule ensures that clients have the necessary funds to settle their purchase obligations promptly, reducing settlement risk and maintaining market stability. Credit to cover sales is not required since sales generate funds rather than consume them. This provision supports orderly trading and financial discipline among market participants by preventing unsettled trades and possible defaults.
Reference: CISI UAE Financial Rules and Regulations - Client Protection, Trading and Settlement Rules, Section 4.3.2 (2023).
NEW QUESTION # 47
Where a manager employed by a legal person is found to have committed a money laundering crime for its account, the minimum fine that can be imposed is:
Answer: B
Explanation:
The UAE AML framework distinguishes between criminal penalties imposed on natural persons and financial liability imposed on legal persons. Under the CISI UAE Financial Rules and Regulations treatment of Federal Law No. 20 of 2018, where representatives, managers or agents of a legal person commit money laundering, financing of terrorism or financing of illegal organisations for the legal person's account or in its name, the legal person may be fined. The prescribed fine is not less than AED 500,000 and not more than AED 50 million . The question asks only for the minimum amount, which is therefore AED 500,000. The liability is expressed as a statutory monetary range, not as 1% or 2% of annual turnover. AED 250,000 is also below the minimum prescribed for the legal person in this circumstance. Separate penalties can apply directly to the natural person who actually committed the underlying offence, but that does not change the minimum fine applicable to the legal entity itself. Accordingly, option D is correct.
NEW QUESTION # 48
When a licensed firm refers a client complaint to another body, it must:
Answer: B
Explanation:
A licensed firm's complaint-handling procedures must address situations where another body is wholly or partially responsible for the subject matter of a client's complaint. The applicable SCA rules require the firm to notify the complainant that referral is proposed and, if the complainant agrees, refer the relevant portion immediately while supplying written information concerning the referral date, responsible person and contact details. Importantly, where only part of the complaint is referred, the original licensed firm must continue handling any part of the complaint that was not referred . This prevents unresolved elements from being abandoned merely because another organisation has responsibility for a separate aspect of the matter. The regulations do not require suspension of the remaining complaint. Nor is notification limited simply to a telephone call or email, since formal dated and written notification requirements apply. The provision also uses a ten-business-day period in relation to a complainant refusing or failing to respond to a referral-not a
30-day appeal period. Therefore, option B accurately reflects the prescribed complaint-handling procedure.
NEW QUESTION # 49
If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?
Answer: D
Explanation:
Under CISI UAE Financial Rules and Regulations governing market operations, if an error in the final cash settlement price of an equity index is discovered more than 30 minutes after publication, the Exchange will not make any correction. This rule limits the window for price correction to maintain market certainty and finality of settlements. After the 30-minute threshold, the published price stands as final, protecting contractual certainty and operational stability. While the provider may acknowledge errors, no re- determination or liability adjustment occurs post-deadline. This policy aligns with international exchange practices designed to minimize market disruption.
Reference: CISI UAE Financial Rules and Regulations - Market Settlement and Price Correction Rules, Section 7.5.9 (2023).
NEW QUESTION # 50
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