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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

Section	Weight	Objectives
Investment Funds	11%	- Provisions specific to certain public funds - The local fund
Markets	11%	- General background - Disclosure and Transparency
Client Protection	10%
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations	14%	- Federal Law No. 20 of 2018
Dubai Financial Market (DFM)	11%
Trading	11%
Licensed Bodies	14%	- Requirements of capital market institutions - General provisions - Licensing financial activities
The Regulatory Infrastructure	17%	- Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021)

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q47-Q52):

NEW QUESTION # 47
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

A. reduce the risk to investors
B. manage conflicts of interest
C. deal with succession planning
D. identify potential money laundering

Answer: B

Explanation:
Sponsors of companies applying to become Special Purpose Acquisition Companies (SPACs) in the UAE must prepare detailed proposals that specifically address the management of conflicts of interest. This is mandated under CISI UAE Financial Rules and Regulations to ensure that the SPAC's activities remain transparent and investors' interests are protected. Conflicts of interest may arise from the sponsors' dual roles or relationships with target companies or investors. Addressing these conflicts proactively through proposals and policies supports integrity and market confidence. While risk reduction and anti-money laundering are critical, the regulations explicitly highlight conflict management as a core area for SPAC sponsors.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, SPAC Sponsorship Requirements, Section 6.3.4 (2023).

NEW QUESTION # 48
The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A. Negotiated out-of-court settlement
B. Payment of a prescribed amount of money
C. Suspension of activities for a specified period
D. Referral to the Central Bank

Answer: A

Explanation:
The CISI UAE Financial Rules and Regulations provide for a conciliation process whereby the Authority may impose a negotiated out-of-court settlement as an alternative to criminal prosecution. This mechanism allows for the resolution of regulatory breaches through mutual agreement, often involving remedial actions and financial penalties, without lengthy court proceedings. It supports regulatory efficiency and offers a less adversarial path to compliance while maintaining enforcement effectiveness. Suspension or referral are different enforcement actions but not part of the conciliation alternative.
Reference: CISI UAE Financial Rules and Regulations - Enforcement and Conciliation Procedures, Section
2.7.5 (2023).

NEW QUESTION # 49
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A. Deposit not less than 100% of the public subscription proceeds within two business days of receipt
B. Deposit not less than 90% of the public subscription proceeds within two business days of receipt
C. Deposit not less than 90% of the public subscription proceeds within one business day of receipt
D. Deposit not less than 100% of the public subscription proceeds within one business day of receipt

Answer: D

Explanation:
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 deposit 100% 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).

NEW QUESTION # 50
If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?

A. It is required to be audited more frequently
B. Its shares are suspended for at least six months
C. It is moved from a second category listing to a first category of listing
D. It is moved from a first category listing to a second category of listing

Answer: D

Explanation:
If a listed company faces accumulated losses of 50% or more of its capital, the company is required to be moved from a first category listing to a second category of listing. This measure is designed to protect investors by ensuring that only financially stable companies remain in the primary listing category, which is subject to stricter regulatory oversight and higher investor expectations. The second category listing provides a lower level of visibility, which reflects the increased financial risks associated with such companies. This helps mitigate the potential impact on other market participants.
Reference: CISI UAE Financial Rules and Regulations - Listing Categories and Financial Health, Section
2.5.1 (2023).

NEW QUESTION # 51
Why would a transaction in securities listed on the market be declared null and void?

A. A member of the Board was convicted of an offence of dishonour
B. It was not recorded according to the provisions and the regulations and resolutions issued
C. There was a failure to present reports and data to the Authority and issue the necessary press releases
D. Trading transactions in securities and commodities were not monitored on a daily basis

Answer: B

Explanation:
The Central Depository performs a fundamental legal and operational function by maintaining the official register of transactions in securities listed on UAE markets. Under the CISI UAE Financial Rules and Regulations, the Depository Centre must keep a register of all transactions involving securities listed on the market. The rule expressly states that any transaction in listed securities that is not registered is deemed null and void . Registration provides the official record needed to establish securities ownership, complete settlement, maintain investor accounts and support rights arising from ownership. A transaction that bypasses this prescribed recording process therefore lacks the regulatory recognition required for a valid market transaction. The other answer choices concern different regulatory obligations or potential misconduct but do not constitute the specific statutory ground for treating the securities transaction itself as null and void. A board member's misconduct, reporting failures or deficiencies in daily monitoring may lead to separate enforcement or governance consequences. The direct trigger tested here is failure to record the transaction according to applicable regulatory provisions. Therefore, option A is correct.

NEW QUESTION # 52
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