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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Topic 2: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Topic 3: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Topic 5: Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Topic 6: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Topic 7: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
>> UAE-Financial-Rules-and-Regulations日本語的中対策 <<
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質問 # 53
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
正解：B
解説：
In the case of an in-kind share transfer where two evaluators produce different fair value figures, the average of the two amounts is typically used. This approach helps ensure fairness and reduces the risk of biases from individual evaluations. The CISI UAE Financial Rules and Regulations recommend averaging the values to arrive at a reasonable and balanced assessment, especially when the evaluators may have different methods or opinions regarding the valuation of assets. This method is widely accepted as it prevents any single evaluator's assessment from disproportionately influencing the final valuation.
Reference: CISI UAE Financial Rules and Regulations - In-kind Share Transfer Valuation, Section 8.4.2 (2023).
質問 # 54
Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?
正解：C
解説：
A Special Purpose Acquisition Company (SPAC) must complete a prescribed sequence of regulatory and market procedures when conducting its public offering. After the required subscription and registration procedures have been completed and the applicable registration fee has been paid, the Authority issues the SPAC's registration certificate. The CISI UAE Financial Rules and Regulations then imposes a short deadline for the next stage. Within three business days from the date of the registration certificate , the SPAC must submit its request to the relevant market to list the shares and warrants it has issued in accordance with the applicable listing requirements. After listing, the SPAC becomes subject immediately to the Authority's corporate governance requirements applicable to listed public joint-stock companies. This three-business-day requirement should not be confused with other SPAC deadlines, such as the period for depositing the prospectus before subscription, publication of the subscription invitation, or the permitted duration of the subscription period itself. Since the question specifically concerns the post-registration listing request, the correct answer is three business days, option C.
質問 # 55
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
正解：A
解説：
According to CISI UAE Financial Rules and Regulations, applicants for a financial activities licence must ensure that their record-keeping systems allow for recovery of electronic records from archives within a maximum period of three business days. This requirement ensures timely access to data necessary for audits, investigations, and regulatory reviews. The three-business-day timeframe balances operational feasibility with regulatory needs for responsiveness and data integrity, supporting transparency and compliance in the UAE financial sector.
Reference: CISI UAE Financial Rules and Regulations - Record-Keeping and Data Recovery Procedures, Section 3.5.10 (2023).
質問 # 56
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
正解：A
解説：
The DFM Professional Code of Conduct imposes a specific restriction on brokerage firms concerning market data and information about entities whose securities are listed on the exchange. A brokerage firm must not publish or promote market data or information concerning the status of a listed entity unless the information has first been verified and made public by the concerned entity . This prevents brokers from distributing unconfirmed, selective or prematurely disclosed information that might influence prices or create information asymmetry between investors. The rule complements broader DFM obligations requiring brokerage firms to act honestly and fairly and to avoid misleading conduct. The broker does not need a separate publication approval from the Authority for every item falling within this rule. Signing a conflict-of-interest disclaimer does not convert unpublished information into permissible market data, and assessing the information's potential impact is not the regulatory trigger allowing publication. The decisive condition is that the information has been verified and publicly disclosed by the entity concerned. Accordingly, option B is correct.
質問 # 57
Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
正解：D
解説：
Final approval of a local investment fund depends upon completion of prescribed post-subscription procedures. According to the CISI UAE Financial Rules and Regulations, the fund manager-and, in the case of a self-managed fund, its founders-must submit specified documentation to the Authority within no more than 30 days from the date on which subscriptions close . One of the principal documents is a certificate from the local fund's auditor confirming that subscription to the fund's capital has been completed. For a family fund, additional evidence may also be required to establish that subscribers satisfy the relevant family and beneficial-ownership requirements. Failure to submit the required documents within the prescribed period can cause the establishment procedures to be treated as non-existent and require subscribed amounts to be returned. Once the required auditor's certificate and supporting documentation have been properly submitted, the Authority proceeds with the establishment and licensing process. The relevant deadline is therefore 30 days, not five, ten or fifteen days. Accordingly, option D is correct.
質問 # 58
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