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| Section | Weight | Objectives |
|---|---|---|
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% | |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) |
| Markets | 11% | - General background - Disclosure and Transparency |
| Client Protection | 10% | |
| Dubai Financial Market (DFM) | 11% | |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
>> UAE-Financial-Rules-and-Regulations Actual Exams <<
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NEW QUESTION # 11
What are brokerage firms able to do during the closing session?
Answer: B
Explanation:
The Dubai Financial Market distinguishes clearly between the pre-closing session and the final closing session. During the pre-closing session , orders are accumulated without immediate execution. Brokerage firms may enter new orders at determined prices and may adjust or cancel existing orders. At the end of that phase, eligible orders are matched using the theoretical auction price. The closing session is different.
According to the CISI UAE Financial Rules and Regulations, during the closing session data and information are displayed, enquiries may be made , and necessary reports can be printed. Brokerage firms may not adjust orders, cancel orders or enter new orders at this stage. This restriction preserves the finality of the closing auction and prevents additional order activity after the market has reached its closing state. Options A, B and D therefore describe activities that are specifically prohibited during the closing session. Of the choices provided, only making enquiries remains permitted. Consequently, option C is the verified answer.
NEW QUESTION # 12
What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations includes detailed contract specifications for the principal commodity futures products traded on the Dubai Gold & Commodities Exchange (DGCX). For the Dubai India Quanto Crude Oil Futures contract, the standard contract size is three barrels . The same specification provides a minimum price movement of US$1 and defines the last trading day as four business days before the 25th calendar day of the month preceding the delivery month. The product should not be confused with other crude-oil futures contracts covered in the syllabus. For example, the DGCX Mini West Texas Intermediate crude-oil contract uses a contract size of 100 barrels, which explains why option C is a plausible distractor. Different oil products employ different contract multipliers, settlement calculations and delivery-month structures. The Dubai India Quanto structure is specifically designed to provide India-related crude-oil price exposure while incorporating the relevant currency conversion mechanism. Since the CISI contract specification expressly states three barrels, option A is correct.
NEW QUESTION # 13
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
Answer: D
Explanation:
Sponsors of companies applying to become Special Purpose Acquisition Companies (SPACs) in the UAE must prepare detailed proposals that specifically address the management of conflicts of interest. This is mandated under CISI UAE Financial Rules and Regulations to ensure that the SPAC's activities remain transparent and investors' interests are protected. Conflicts of interest may arise from the sponsors' dual roles or relationships with target companies or investors. Addressing these conflicts proactively through proposals and policies supports integrity and market confidence. While risk reduction and anti-money laundering are critical, the regulations explicitly highlight conflict management as a core area for SPAC sponsors.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, SPAC Sponsorship Requirements, Section 6.3.4 (2023).
NEW QUESTION # 14
As part of its obligations under the Authority regulations, a commodities CCP carries out periodic back tests.
Why are these tests required?
Answer: A
Explanation:
A commodities central counterparty (CCP) assumes significant counterparty and settlement risk because it becomes the central clearing entity between market participants. The CISI UAE Financial Rules and Regulations therefore requires a commodities CCP to operate comprehensive prudential controls, including margin requirements, default funds, daily liquidity assessment and stress testing. Stress tests must assess whether margin and default-fund resources remain sufficient under severe but plausible scenarios. The CCP must also conduct periodic back tests specifically to ensure that the stress-test scenarios remain adequate
. Back testing compares the assumptions and risk parameters used in the testing framework with actual historical or observed outcomes, enabling weaknesses in the stress methodology to be identified. It does not replace regular stress testing; therefore, option A is directly contrary to the rule. Default-fund contributions are based principally on clearing members' risk exposures, and the purpose of back testing is not simply to determine the fund's extreme tolerance level. The CISI material expressly identifies adequacy of stress-test scenarios as the objective. Therefore, option B is correct.
NEW QUESTION # 15
The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:
Answer: D
Explanation:
Under the CISI UAE Financial Rules and Regulations, firms applying for a financial activities licence are required to have formal policies addressing client protection, including clear complaints handling procedures.
Such firms must make these proceduresavailable to clients on request, ensuring transparency and accessibility without imposing undue burden on clients or firms. The regulatory framework does not mandate automatic distribution within fixed timeframes upon client acceptance or complaint receipt but emphasizes accessibility and prompt responsiveness when clients seek the information. This approach balances operational feasibility and client rights to be informed about how their complaints will be managed. Providing the procedure upon request also fosters a trust-based relationship and helps resolve disputes effectively.
Reference:CISI UAE Financial Rules and Regulations - Client Protection and Complaints Handling, Section 4.2.7 (2023).
NEW QUESTION # 16
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