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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Dubai Financial Market (DFM) | 11% | |
| Topic 2: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 3: Client Protection | 10% | |
| Topic 4: Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Topic 5: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 6: Trading | 11% | |
| Topic 7: 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 - Federal Law No. 4 of 2000 - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 8: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
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NEW QUESTION # 152
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Answer: B
Explanation:
A Special Purpose Acquisition Company (SPAC) is required to safeguard the overwhelming majority of the money raised through its public subscription. The CISI study material specifies that not less than 90% of public subscription proceeds, or any higher percentage prescribed by the Authority, must be deposited within two business days into an escrow or other suitable segregated account. Money in that account is restricted to defined purposes. These include financing the business combination, meeting recovery requests submitted by investors, returning public subscription proceeds following a failure event, and paying fees associated with maintaining the account or those permitted purposes. The escrow proceeds are therefore not a general pool of working capital available for restructuring, market hedging or issuing additional shares. In the scenario, depositing 95% meets the minimum 90% segregation requirement, but the permitted uses remain restricted.
Among the listed alternatives, meeting recovery requests from investors is expressly authorised by the CISI SPAC rules. Consequently, option A is the correct answer.
NEW QUESTION # 153
What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
Answer: C
Explanation:
Remote access to the Abu Dhabi Securities Exchange is available only to foreign brokerage companies that meet the ADX's prescribed eligibility conditions. Among those conditions, the foreign brokerage firm must be properly licensed for financial brokerage in its home jurisdiction by a regulator comparable to the SCA, and that regulator must operate appropriate KYC, customer due diligence and AML/CFT standards. The rules also state expressly that the firm's licence must not previously have been refused by any regulatory authority similar to the Authority . A prior refusal therefore means that an essential eligibility condition for remote access is not satisfied. It is not a matter that can be cured merely by supplying additional collateral or accepting restricted trading privileges. The rule is framed as an entry condition, not simply a discretionary risk factor to be considered by the ADX board. Consequently, a foreign brokerage company with such a previous licensing refusal does not qualify for remote access approval under the stated conditions. Among the options supplied, this makes automatic rejection the correct outcome. Therefore, option D is correct.
NEW QUESTION # 154
Order cancellation can be carried out on the trading system. What happens if the order has already been traded?
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations distinguishes between adjusting an active order and cancelling one. Certain elements of a live order may be modified while the order remains valid, although some changes can result in a new timestamp and altered execution priority. Cancellation is different: once an order is successfully cancelled through the trading system, the original order cannot subsequently be recovered. More importantly for this question, an order that has already been traded cannot be cancelled , because execution has already occurred. Where a cancellation request is submitted after the order has been traded, the system rejects the cancellation request . This preserves transactional finality and avoids attempting to reverse a completed execution through ordinary order-cancellation functionality. Any separate regulatory mechanism for cancelling or adjusting an executed transaction due to a technical error, breach of market rules or other prescribed circumstances is governed by different provisions and should not be confused with routine cancellation of an order. Therefore, where the order has already traded, option B-the request is rejected-is correct.
NEW QUESTION # 155
If title to units in a private investment fund is transferred to a professional investor, the minimum nominal value of these units must equate to at least:
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations imposes restrictions on transfers of title to units in private investment funds. Such units may be transferred to existing unit holders, to specified family members in the case of a family fund, or to a professional investor or counterparty subject to an important minimum-value condition. Where the transferee is a professional investor or counterparty, the nominal value of the transferred units must be at least AED 180,000, or the equivalent amount in another currency. This restriction reflects the private nature of the fund and ensures that transfers to new professional participants continue to satisfy the regulatory parameters applicable to private-fund investment. It also differentiates private funds from publicly promoted investment products, which are subject to different offering and distribution requirements. AED
120,000, AED 220,000 and AED 280,000 are not the thresholds specified by the CISI syllabus. Therefore, where ownership is transferred to a professional investor under the relevant private-fund rules, AED 180,000 is the minimum nominal value and option B is correct.
NEW QUESTION # 156
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
Answer: B
Explanation:
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).
NEW QUESTION # 157
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