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| Section | Weight | Objectives |
|---|---|---|
| Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
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NEW QUESTION # 160
The role of the safe custodian in relation to exchange-traded funds (ETFs) is to:
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations separates the responsibilities of the different entities participating in an exchange-traded fund. The management company or investment manager implements and monitors the investment policy and oversees ETF performance. The administrative services company calculates and announces the daily net asset value and regularly communicates the indicative net asset value.
The authorised agent supports liquidity and performs the order-related functions associated with creation and redemption. The safe custodian , however, has custody and settlement responsibilities. It must ensure that the orders and documentation relating to exchanges between ETF units and the components of the tracked index are processed through the administrative services company and must ensure that transfers of ownership of ETF units are completed . Transfers to or from the safe custodian must be completed before redemption, cancellation or issuance of ETF units. Therefore, daily NAV announcements belong to the administrative services company, implementation of investment policy belongs principally to management, and order updating is associated with the authorised agent. Option D correctly identifies the safe custodian's role.
NEW QUESTION # 161
What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
Answer: B
Explanation:
Remote access to the Abu Dhabi Securities Exchange is available only to foreign brokerage companies that meet the ADX's prescribed eligibility conditions. Among those conditions, the foreign brokerage firm must be properly licensed for financial brokerage in its home jurisdiction by a regulator comparable to the SCA, and that regulator must operate appropriate KYC, customer due diligence and AML/CFT standards. The rules also state expressly that the firm's licence must not previously have been refused by any regulatory authority similar to the Authority . A prior refusal therefore means that an essential eligibility condition for remote access is not satisfied. It is not a matter that can be cured merely by supplying additional collateral or accepting restricted trading privileges. The rule is framed as an entry condition, not simply a discretionary risk factor to be considered by the ADX board. Consequently, a foreign brokerage company with such a previous licensing refusal does not qualify for remote access approval under the stated conditions. Among the options supplied, this makes automatic rejection the correct outcome. Therefore, option D is correct.
NEW QUESTION # 162
A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?
Answer: A
Explanation:
According to CISI UAE Financial Rules and Regulations, applications for licences to conduct clearing activities require that key senior officers such as the chairman and CEO meet certain tenure and independence criteria. The application was refused because both the newly appointed chairman and CEO had been employed by the company during the previous year, which raises concerns about independence and potential conflicts of interest. Regulators require sufficient separation and stability in leadership to ensure effective governance and risk management in critical market infrastructure roles like clearing. The recent employment history suggested insufficient cooling-off periods or independence safeguards.
Reference: CISI UAE Financial Rules and Regulations - Licensing Requirements for Clearing Firms, Section 7.1.3 (2023).
NEW QUESTION # 163
An introducer approved by the Authority is obliged to obtain further approval before:
Answer: B
Explanation:
Under the CISI UAE Financial Rules and Regulations, an introducer is a corporate entity approved by the Securities and Commodities Authority to introduce potential clients to firms providing financial activities or services. Once approved, the introducer remains subject to six specific obligations. These include disclosing the introduction procedures and any commissions receivable, disclosing its relationship with each party, refraining from providing financial consultation or analysis unless separately licensed, and not receiving clients' funds, assets, orders or requests other than properly disclosed commissions. Crucially, an introducer must obtain the Authority's approval before conducting any introduction business outside the UAE. Receiving a disclosed commission is expressly contemplated by the rules and therefore does not itself require a new approval. Nor do ordinary introductions to legal entities or requests for legitimate referrals create the specific approval requirement tested here. The territorial extension of introduction activities outside the UAE is the regulatory trigger. Therefore, option B correctly reflects the CISI requirement.
NEW QUESTION # 164
What is the minimum fine that can be levied on someone who commits a money laundering crime through an organised crime group?
Answer: A
Explanation:
For this CISI syllabus question, the governing provision is Federal Decree-Law No. 20 of 2018 as amended and incorporated into the UAE Financial Rules and Regulations material. The law applies an aggravated penalty where money laundering is committed in specified circumstances, including where the perpetrator abuses professional influence or authority, commits the offence through a non-profit organisation, commits it through an organised crime group , or is a repeat offender. In these aggravated circumstances, the prescribed financial penalty is not less than AED 300,000 and not more than AED 10 million , together with temporary imprisonment. The question asks only for the minimum monetary fine. AED 200,000 and AED
400,000 do not correspond to the statutory threshold, while AED 500,000 relates to other penalty provisions and should not be confused with the minimum for this aggravated natural-person money-laundering offence.
Accordingly, under the Federal Law No. 20 of 2018 framework specifically tested by the CISI syllabus, option B-AED 300,000-is correct.
NEW QUESTION # 165
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