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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 10% | |
| Topic 2: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 3: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 4: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Topic 5: Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Topic 6: Trading | 11% | |
| Topic 7: Dubai Financial Market (DFM) | 11% | |
| Topic 8: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
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The UAE-Financial-Rules-and-Regulations Practice Questions are designed and verified by experienced and renowned CISI UAE Financial Rules and Regulations Exam exam trainers. They work collectively and strive hard to ensure the top quality of Actual4Cert UAE-Financial-Rules-and-Regulations exam practice questions all the time. The UAE-Financial-Rules-and-Regulations Exam Questions are real, updated, and error-free that helps you in CISI UAE Financial Rules and Regulations Exam exam preparation and boost your confidence to crack the upcoming UAE-Financial-Rules-and-Regulations exam easily.
NEW QUESTION # 52
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
Answer: D
Explanation:
The CISI rules governing securities pledges require a pledge request to be submitted using the prescribed form and to contain minimum information enabling the CSD Department to identify the securities, the parties and the economic rights connected with the pledge. The required information includes the creditor on mortgage, the debtor on mortgage who owns the securities, details identifying the securities subject to the pledge-including the issuing company and quantity-and the party entitled to the profits generated by those securities. The entitlement to profits is particularly significant because dividends or other distributions may arise while securities remain pledged, and the CSD must know whether those economic benefits belong to the investor or the pledgee. Although a pledging period may appear in particular market pledge instructions, the CISI examination provision identifying the minimum information on the relevant CSD pledge request specifically includes the party entitled to profits. The reason for the pledge and an agreed default option are not among the stated minimum particulars tested here. Therefore, option C is correct.
NEW QUESTION # 53
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
Answer: C
Explanation:
According to CISI UAE Financial Rules and Regulations, a public joint-stock company is automatically barred from executing a buyback transaction if it issued shares in a public offer in the last six months. This regulatory restriction is designed to prevent market manipulation and protect shareholders' interests by ensuring sufficient market stability following a new share issuance. Buybacks shortly after public offerings could distort share prices or unfairly affect market liquidity. Other conditions like being an insurance company or state-designated firm do not automatically preclude buybacks under these regulations. This rule aligns with international corporate governance best practices governing share repurchases.
Reference: CISI UAE Financial Rules and Regulations - Share Buyback Rules, Section 5.4.7 (2023).
NEW QUESTION # 54
Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
Answer: A
Explanation:
Where in-kind shares are contributed to a local investment fund, the prospectus must provide comprehensive disclosure so that investors understand the nature and potential valuation risks of those assets. The SCA investment-fund regulations require the prospectus to provide full information about each in-kind share, its owner and value, the number of units issued against it and a summary of the in-kind valuation report. It must additionally explain the extent to which the in-kind shares can subsequently be disposed of and the extent to which their values may vary after the fund has been established according to market circumstances and subsequent valuation reports . Option A therefore accurately captures the required disclosure concerning potential fluctuations in value. There is no requirement in this provision to identify alternative assets that were considered. An evaluation report is not treated as unnecessary; instead, its summary is specifically required.
Nor does this particular prospectus disclosure require the fund to identify specific legislation authorising the contribution. The regulatory focus is transparency over valuation and liquidity risks. Therefore, option A is correct.
NEW QUESTION # 55
A commodities market has failed to pay amounts due to the Authority for three months; however, its operations have not been suspended. Why is this?
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations describes a progressive sanction process where a securities or commodities market fails to pay amounts due to the Authority. The sanctions are applied in sequence. First, the market may receive a warning identifying the financial default. Second, the Authority may issue a notice requiring the violation to be rectified within 30 days. Third, a financial penalty may be imposed for late payment, with a part-month treated as a full month when calculating that penalty. The final available sanction is temporary suspension of the market until the outstanding fees are paid. However, suspension is not the only possible final response . The CISI material expressly states that, alternatively, the matter may be brought before the Board so that it can determine another appropriate course of action. Therefore, the fact that payment has remained outstanding for three months does not make suspension inevitable. The scenario is explained by the Board considering an alternative sanction or response, making option A correct.
NEW QUESTION # 56
What happens to a day order to sell on the DFM if it is not executed by the end of that day?
Answer: A
Explanation:
A day order is an order whose validity is restricted to the trading day on which it is entered. Unlike a good-till- cancelled order, which can remain available for execution across subsequent trading sessions until cancelled or otherwise terminated under applicable rules, a day order does not carry forward automatically.
Consequently, if a DFM day order to sell remains unexecuted when the trading day ends, the order automatically expires . The investor does not receive a post-close choice simply to carry the same day order into the following session, and the broker does not possess discretion to convert an expired day order automatically into a continuing order. If the investor still wishes to sell the securities on the following trading day, a new valid order must be entered under the appropriate order-validity instruction. The distinction between day orders and longer-duration orders is important because it determines how long an instruction remains exposed to the market. Therefore, among the alternatives provided, automatic expiry at the end of the trading day accurately reflects the nature of a day order, making option C correct.
NEW QUESTION # 57
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