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| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) |
| Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Trading | 11% | |
| Markets | 11% | - Disclosure and Transparency - General background |
| Dubai Financial Market (DFM) | 11% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Client Protection | 10% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
>> UAE-Financial-Rules-and-Regulations受験方法 <<
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質問 # 156
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
正解：C
解説：
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection. This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference:CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).
質問 # 157
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?
正解：D
解説：
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).
質問 # 158
During a trading session of the DFM, a selling transaction can be executed:
正解：C
解説：
The Dubai Financial Market operates an electronic, order-driven trading system during its continuous trading session. Once the market enters the normal trading phase, buy and sell orders can be entered and matched according to the applicable price and time priority rules. A security can therefore be bought or sold at any time throughout the continuous trading session , subject to market controls such as price limits, suspensions and other applicable trading restrictions. There is no general rule limiting selling transactions to the first 50 or 55 minutes of each hour, nor is selling universally prohibited during the final 15 minutes of the normal trading phase. The CISI material separately distinguishes continuous trading from pre-opening, pre- closing and closing sessions. During pre-closing, orders are accumulated for the closing auction, while during the final closing session firms cannot enter new orders, adjust existing orders or cancel them. The question, however, refers specifically to execution during the DFM trading session. Accordingly, option A correctly reflects continuous trading principles.
質問 # 159
What happens if a listed company has its shares suspended for six months or more?
正解：D
解説：
The CISI UAE Financial Rules and Regulations divides listed companies into first- and second-category listings according to prescribed financial and regulatory criteria. To remain in the first category, a company's shares must not have been suspended from trading for six months or more, and its accumulated losses must remain below the prescribed threshold. Where the shares have been suspended for six months or more , the market transfers the company's listing from the first category to the second category . Once transferred, the shares may subsequently resume trading under the special arrangements applicable to second-category companies. Such securities are displayed through a dedicated market screen, together with information identifying their second-category status and relevant investor-risk disclosures. The six-month suspension therefore produces a listing-category consequence rather than merely an automatic fine or unspecified enhanced supervision. Movement into the first category would be the opposite of the prescribed regulatory treatment. Accordingly, the CISI rule directly supports option A.
質問 # 160
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?
正解：D
解説：
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.
質問 # 161
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CISIの認定試験は最近ますます人気があるようになっています。IT認定試験は様々あります。どの試験を受験したことがありますか。たとえばUAE-Financial-Rules-and-Regulations認定試験などです。これらは全部大切な試験です。どちらを受験したいですか。ここで言いたいのはUAE-Financial-Rules-and-Regulations試験です。この試験を受けたいなら、JapancertのUAE-Financial-Rules-and-Regulations問題集はあなたが楽に試験に合格するのを助けられます。
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