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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 10% | |
| Topic 2: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 3: Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Topic 4: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 5: The Regulatory Infrastructure | 17% | - SCA Resolutions - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 |
| Topic 6: Dubai Financial Market (DFM) | 11% | |
| Topic 7: Trading | 11% | |
| Topic 8: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
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NEW QUESTION # 165
The approved job for conducting securities dealing is:
Answer: B
Explanation:
In the CISI UAE Financial Rules and Regulations, the role formally authorized to conduct securities dealing is that of a Broker Representative. This role is specifically licensed and trained to execute trades on behalf of clients and manage securities transactions within regulatory frameworks. Other positions like Trading Manager or Operations Manager have important but different operational and supervisory functions and do not directly engage in client securities dealing. The Broker Representative's licensing ensures adherence to professional standards, client protection, and market integrity.
Reference: CISI UAE Financial Rules and Regulations - Licensing and Job Roles, Section 3.1.9 (2023).
NEW QUESTION # 166
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Answer: A
NEW QUESTION # 167
Applicants for an Authority licence must supply details covering the retention of employee data for what minimum period from the date of the last update?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations requires licence applicants to establish an employees regulation covering the standards, records and controls applicable to personnel. The applicant must maintain a continuously updated employee record containing relevant employee data, responsibilities and the date on which each employee began performing their duties. Critically, the CISI manual specifies that employee data must be retained for ten years from the date of the last update . This is substantially longer than the three-, five- or seven-year alternatives presented in the question. The retention requirement supports the Authority's supervisory and investigative functions by preserving a reliable historical record of personnel who performed regulated activities and the responsibilities allocated to them. The same employee-regulation framework also requires mechanisms for revising and updating employee rules and maintaining professional conduct standards. Because the question asks specifically for the minimum period calculated from the employee record's last update, the applicable period is ten years. Therefore, option D is correct.
NEW QUESTION # 168
What happens if a listed company has its shares suspended for six months or more?
Answer: B
Explanation:
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.
NEW QUESTION # 169
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
Answer: C
Explanation:
According to the CISI UAE Financial Rules and Regulations, the process for establishing a local investment fund, including a public fund, involves obtaining approval from the relevant regulatory authority, which is usually the Securities and Commodities Authority (SCA). For public funds, the authority is required to either grant or reject the application within 20 working days from the submission date. This time frame ensures that there is adequate time for the Authority to review the application, conduct necessary evaluations, and ensure that the fund complies with all regulatory and legal requirements. The 20-working-day period ensures efficiency while allowing for a thorough review.
Reference: CISI UAE Financial Rules and Regulations - Investment Fund Establishment Process, Section
6.2.1 (2023).
NEW QUESTION # 170
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