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| Section | Weight | Objectives |
|---|---|---|
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Trading | 11% | |
| Dubai Financial Market (DFM) | 11% | |
| Client Protection | 10% | |
| Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| The Regulatory Infrastructure | 17% | - Codes of Conduct - SCA Resolutions - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) |
| Markets | 11% | - Disclosure and Transparency - General background |
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NEW QUESTION # 137
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
Answer: A
Explanation:
CISI UAE Financial Rules and Regulations specify that when a local investment fund is established by an entity licensed for family investment management, at least 90% of the fund units must be owned by family members. This high ownership threshold ensures that the fund serves its intended purpose as a family investment vehicle, restricting external investor participation. The rule protects the fund's family-oriented investment strategy, governance, and compliance with related regulatory provisions. It also aligns with the regulatory framework promoting transparency and proper segmentation of family investment funds in the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Family Investment Management Funds, Ownership Requirements, Section 6.6.5 (2023).
NEW QUESTION # 138
Which of the following does the Authority require licensed bodies to do in respect of close ties with other firms?
Answer: D
Explanation:
The Authority requires licensed bodies to ensure that ownership, management or other close relationships with third parties do not interfere with effective regulatory supervision. Under the CISI UAE Financial Rules and Regulations, a licensed body must notify the Authority of any close ties and ensure that those ties will not impede the Authority's supervision and control. The person or entity with whom the close relationship exists must also satisfy applicable efficiency and appropriateness standards, and the licensed body must be prepared to supply documentation and information concerning the relationship whenever requested. If the Authority concludes that a close tie is inconsistent with licensing requirements or may obstruct supervision, it may require the relationship to be amended or terminated and may impose appropriate sanctions for non- compliance. The rule does not state that every close tie requires prior approval, nor does it restrict close ties exclusively to capital-market firms or branches of the same organisation. The operative obligation is notification combined with preservation of effective regulatory oversight. Therefore, option A is correct.
NEW QUESTION # 139
The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
Answer: B
Explanation:
The Dubai Gold & Commodities Exchange (DGCX) contract specification for West Texas Intermediate (WTI) Light Sweet Crude Oil Futures establishes a clearly defined expiry timetable. The last trading day is four business days prior to the 25th calendar day of the month preceding the expiry or delivery month .
For example, if the futures contract relates to March, its last trading day falls on the fourth business day before 25 February. This convention allows sufficient time between the termination of trading and final cash- settlement procedures. The DGCX specification applies the same last-trading-day structure to its standard WTI contract and the Mini WTI product, although their contract sizes and tick values differ. Option A incorrectly relates expiry to the final business day of the delivery month, while option B has no basis in the WTI specification. Option D resembles expiry conventions associated with other commodity contracts and is not the applicable WTI rule. Consequently, the contract specification confirms that option C is correct.
NEW QUESTION # 140
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 # 141
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For corporate persons, this should include:
Answer: D
Explanation:
The Dubai Financial Market Professional Code of Conduct requires brokerage firms to take reasonable steps to establish the identity, contact information, financial circumstances and investment objectives of their clients. The information required varies according to the type of client. For a corporate person , the DFM rules require details including the company's or entity's name and nationality, its commercial register number and commercial licence , the place and date of issue of those documents, a copy of its memorandum of association, headquarters contact information and details of the individual authorised to manage the account. Option C therefore identifies information specifically required for corporate clients. Option B- profession, exact address, PO Box and telephone number-is associated with natural persons. Option A relates to securities portfolios managed by a licensed investment manager. Option D-nature of the entity, legal form, type and capital-is specifically identified for investment funds. The classifications are deliberately distinct so brokerage firms obtain appropriate identification evidence for each client structure.
Accordingly, for a corporate person, the correct answer is option C.
NEW QUESTION # 142
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