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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 |
| Client Protection | 10% | |
| The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Codes of Conduct - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Dubai Financial Market (DFM) | 11% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Markets | 11% | - General background - Disclosure and Transparency |
| Trading | 11% |
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NEW QUESTION # 140
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:
Answer: C
Explanation:
The Dubai Financial Market (DFM) Professional Code of Conduct mandates that brokerage firms perform thorough customer due diligence to confirm client identities. For natural persons, this includes obtaining detailed personal information such as profession, exact residential address, PO Box, and phone number. This comprehensive identification requirement supports anti-money laundering (AML) and know-your-customer (KYC) policies by enabling firms to verify clients accurately and assess their risk profiles effectively.
Commercial registration details and legal entity information apply to corporate clients, not individuals.
Collecting detailed contact and occupational data also facilitates ongoing monitoring and communication, fulfilling regulatory obligations to maintain transparent client records.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and DFM Professional Code of Conduct, Section 4.1.3 (2023).
NEW QUESTION # 141
When establishing a local investment fund, how much are the founders required to subscribe?
Answer: A
Explanation:
When establishing a local investment fund in the UAE, the founders are required to subscribe a minimum amount to demonstrate commitment and to comply with the legal and financial requirements set by the Securities and Commodities Authority (SCA). The minimum required subscription is at least 10 million dirhams. This ensures that the fund has a solid financial base, contributing to its credibility and ability to cover initial operational and management expenses. The founders' subscription also serves to align their interests with those of potential investors and provides an assurance of the fund's viability and long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Fund Formation Requirements, Section 6.1.2 (2023).
NEW QUESTION # 142
A licensed body submitted a requested document to the Authority and a short time later noticed that it was incomplete. How soon must it notify the Authority of this issue?
Answer: B
Explanation:
Licensed bodies are subject to continuing obligations regarding information and documentation supplied to the Securities and Commodities Authority and other capital-market institutions. The CISI material requires a licensed body to notify the relevant entity immediately after discovering that information or documents previously submitted are incorrect, misleading, incomplete, inaccurate, outdated or have subsequently changed. The licensed body should identify the affected information or documents and explain the reason for the deficiency or change. This requirement protects the integrity of regulatory supervision because the Authority makes licensing, compliance and enforcement decisions using information submitted by regulated entities. Allowing inaccurate or incomplete material to remain uncorrected could undermine that supervisory process. The obligation is deliberately framed as an immediate notification requirement rather than allowing a fixed 48-hour, 72-hour or end-of-week correction period. The licensed body must also retain sufficient evidence showing that requested information and documents were properly delivered or submitted.
Consequently, once the firm discovers that the requested document was incomplete, it must notify the Authority immediately. Therefore, option A is correct.
NEW QUESTION # 143
Why would a transaction in securities listed on the market be declared null and void?
Answer: A
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 # 144
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:
Answer: C
Explanation:
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.
NEW QUESTION # 145
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