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| Section | Weight | Objectives |
|---|---|---|
| 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% | - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Client Protection | 10% | |
| Markets | 11% | - Disclosure and Transparency - General background |
>> UAE-Financial-Rules-and-Regulations Questions Pdf <<
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NEW QUESTION # 43
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 # 44
If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?
Answer: D
Explanation:
For a company wishing to offer shares after converting into a public joint-stock company, it must have released audited financial statements for a minimum of three fiscal years prior to the request to offer shares.
This requirement ensures that the company has a solid track record of financial performance and transparency, which is essential for potential investors to evaluate the company's viability and financial health. The three- year period provides enough historical data to assess trends and make informed investment decisions, supporting market integrity and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Requirements for Public Offerings, Section 4.2.3 (2023).
NEW QUESTION # 45
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations empower the Authority to impose financial fines of not less than AED 100,000 on licensed entities or persons found in violation of regulatory provisions. This minimum fine serves as a deterrent and underscores the regulator's authority to enforce compliance. While suspension of licensed bodies or activities can be imposed in some cases, the standard and frequently applied sanction is the financial penalty starting from AED 100,000. The Authority's sanctions framework ensures robust regulatory oversight and promotes adherence to UAE financial laws.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Sanctions and Penalties, Section 2.6.4 (2023).
NEW QUESTION # 46
If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
Answer: A
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 # 47
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations require that investors in crypto assets be promptly notified in advance of any material change in the nature of the software relevant to the assets. This advance notification is crucial to allow investors to make informed decisions regarding their holdings before changes take effect.
Material changes could affect functionality, security, or value of the crypto asset. The regulation promotes transparency and investor protection by ensuring timely and clear communication, preventing investors from being blindsided by unexpected developments. The requirement aligns with international best practices on disclosure for crypto asset issuers.
Reference: CISI UAE Financial Rules and Regulations - Legislation and Practice, Crypto Asset Regulation, Section 7.2.1 (2023).
NEW QUESTION # 48
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