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| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - General background - Disclosure and Transparency |
| Trading | 11% | |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Client Protection | 10% | |
| The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Codes of Conduct |
| Dubai Financial Market (DFM) | 11% |
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NEW QUESTION # 85
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
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 deposit100% 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 # 86
Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
Answer: B
Explanation:
CISI UAE Financial Rules and Regulations recognize the concept of a Chinese wall, which permits employees in one part of a regulated business to withhold certain information from employees in other parts.
This internal information barrier is designed to prevent conflicts of interest and insider trading by restricting the flow of sensitive or non-public information between departments. By implementing Chinese walls, firms ensure compliance with legal and regulatory requirements, uphold market integrity, and protect client interests. While audit requests and privacy concerns are valid, the primary regulatory rationale for withholding information internally is to maintain effective Chinese walls.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Information Barriers, Section 3.4.10 (2023).
NEW QUESTION # 87
Where a manager employed by a legal person is found to have committed a money laundering crime for its account, the minimum fine that can be imposed is:
Answer: D
Explanation:
The UAE AML framework distinguishes between criminal penalties imposed on natural persons and financial liability imposed on legal persons. Under the CISI UAE Financial Rules and Regulations treatment of Federal Law No. 20 of 2018, where representatives, managers or agents of a legal person commit money laundering, financing of terrorism or financing of illegal organisations for the legal person's account or in its name, the legal person may be fined. The prescribed fine is not less than AED 500,000 and not more than AED 50 million . The question asks only for the minimum amount, which is therefore AED 500,000. The liability is expressed as a statutory monetary range, not as 1% or 2% of annual turnover. AED 250,000 is also below the minimum prescribed for the legal person in this circumstance. Separate penalties can apply directly to the natural person who actually committed the underlying offence, but that does not change the minimum fine applicable to the legal entity itself. Accordingly, option D is correct.
NEW QUESTION # 88
What happens to a day order to sell on the DFM if it is not executed by the end of that day?
Answer: A
Explanation:
A day order is an order whose validity is restricted to the trading day on which it is entered. Unlike a good-till- cancelled order, which can remain available for execution across subsequent trading sessions until cancelled or otherwise terminated under applicable rules, a day order does not carry forward automatically.
Consequently, if a DFM day order to sell remains unexecuted when the trading day ends, the order automatically expires . The investor does not receive a post-close choice simply to carry the same day order into the following session, and the broker does not possess discretion to convert an expired day order automatically into a continuing order. If the investor still wishes to sell the securities on the following trading day, a new valid order must be entered under the appropriate order-validity instruction. The distinction between day orders and longer-duration orders is important because it determines how long an instruction remains exposed to the market. Therefore, among the alternatives provided, automatic expiry at the end of the trading day accurately reflects the nature of a day order, making option C correct.
NEW QUESTION # 89
If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?
Answer: C
Explanation:
The UAE rules governing listed debt securities give the Authority power to suspend trading and, in prescribed circumstances, cancel a listing entirely. The CISI UAE Financial Rules and Regulations states that the Authority may cancel the listing of debt securities where a decision has been made to dissolve or wind up the issuer, where the suspension of the listing continues for more than six months, or where the relevant debt securities have been completely redeemed. Once a listing is cancelled or suspended, trading in the affected debt securities is prohibited. The rules also make clear that neither the Authority nor the market is responsible for compensating persons suffering losses as a consequence of the suspension or cancellation. Although regulatory intervention may involve additional disclosures or remedial action in other circumstances, the specific consequence expressly available when a debt-security listing has remained suspended for more than six months is cancellation of that listing. There is no corresponding requirement in this provision for an at-risk register, automatic fine, or immediate recovery plan. Therefore, option D is correct.
NEW QUESTION # 90
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