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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Topic 2: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 3: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Topic 4: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Topic 5: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Topic 6: Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Topic 7: Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
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NEW QUESTION # 100
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
Answer: C
Explanation:
Under Federal Law No. 20 of 2018 and related CISI UAE Financial Rules and Regulations, issuers arranging crypto asset offerings must establish controls to prevent subscriptions being taken at excessive levels from non-qualified investors. This is a key investor protection and anti-money laundering measure designed to restrict high-risk investment exposure to those with adequate knowledge, resources, and risk appetite. By enforcing subscription limits for non-qualified investors, the regulations mitigate fraud, market manipulation, and financial losses while ensuring regulatory compliance. Controls over pricing discretion or fluctuations, while relevant, are not the central regulatory concern in this context.
Reference: CISI UAE Financial Rules and Regulations - AML and Crypto Asset Issuance Controls, Section
8.2.4 (2023).
NEW QUESTION # 101
The semi-annual financial report for a local investment fund must be audited by an external auditor within what maximum period following the end of the reporting period?
Answer: D
Explanation:
The UAE investment fund regulations distinguish between financial reports and other performance reports of a local fund. The investment fund administrator is responsible for maintaining the fund's accounts and preparing financial reports in accordance with International Financial Reporting Standards. The semi-annual financial report must be audited by an independent external auditor within no more than 45 days from the end of the relevant semi-annual period. In contrast, the annual financial report has a longer deadline: it must be audited by an independent external auditor within no more than three months after the end of the local fund's financial year. This distinction is important because another CISI requirement applies to the semi- annual performance report of a public fund, which has a different preparation deadline. The present question specifically asks about the semi-annual financial report and its external audit , so the applicable maximum is 45 days. Neither 35 days nor two or three months represents the required deadline for this report. Therefore, option B is correct.
NEW QUESTION # 102
During a trading session, if an order is not fully executed, then:
Answer: B
Explanation:
In the Dubai Financial Market (DFM) and other UAE exchanges, if an order is not fully executed during a trading session, the remaining unexecuted volume remains on the trading system at the last executed price, subject to the order's validity instructions (e.g., good-till-cancelled). This approach allows the unfilled portion to remain active in the market for potential matching with future opposing orders, supporting liquidity and order continuity. Orders are not automatically cancelled or deferred to the next session unless specified. This process ensures transparency and orderly execution consistent with regulatory trading rules.
Reference: CISI UAE Financial Rules and Regulations - Trading Order Execution Rules, Section 7.2.8 (2023).
NEW QUESTION # 103
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 # 104
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
Answer: C
Explanation:
According to CISI UAE Financial Rules and Regulations, brokerage companies must use 70% of the market value of securities they own to increase the value of their guarantee. This guarantee acts as a financial safeguard to ensure the firm's stability and protect clients and counterparties against default risk. The 70% proportion strikes a balance between maximizing the leverage of owned securities and maintaining prudent risk management. It reflects the regulatory emphasis on requiring sufficient collateral and guarantees to support brokerage operations, maintaining market confidence and financial soundness within the UAE capital markets.
Reference: CISI UAE Financial Rules and Regulations - Brokerage Firms Guarantees, Section 3.3.9 (2023).
NEW QUESTION # 105
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