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| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
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NEW QUESTION # 93
The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
Answer: C
Explanation:
Per CISI UAE Financial Rules and Regulations, the compliance regulation guide submitted by licensing applicants must include procedures and mechanisms that ensure the compliance officer has access to sufficient resources. Adequate resources are critical for the compliance officer to effectively oversee adherence to regulatory requirements, manage risks, and implement compliance programs. This includes staffing, technology, training, and authority necessary to fulfill the role's responsibilities. While emergency powers or deputizing may be operationally important, the regulations emphasize resource adequacy as a fundamental compliance enabler.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Compliance Officer Requirements, Section 3.3.6 (2023).
NEW QUESTION # 94
During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?
Answer: C
Explanation:
If a licensed body discovers that any submitted documents or information are incorrect, misleading, or have been changed during an investigation, it is required to notify the concerned entity at the Authority or any of the capital market institutions immediately. According to the CISI UAE Financial Rules and Regulations, this immediate disclosure is critical for maintaining market integrity and ensuring that the Authority and other relevant bodies can take appropriate actions to address any issues of non-compliance or fraud. The prompt notification prevents further misrepresentation and safeguards the transparency of the financial markets.
Reference: CISI UAE Financial Rules and Regulations - Investigation and Disclosure Requirements, Section 5.6.2 (2023).
NEW QUESTION # 95
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 # 96
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
Answer: D
Explanation:
Under CISI UAE Financial Rules and Regulations, risk management is among the prescribed financial activities for which the Securities and Commodities Authority (SCA) issues licenses. Licensing ensures that entities engaging in financial risk assessment and mitigation services meet regulatory standards related to expertise, governance, and compliance. Activities such as analysis, promotion, and corporate planning are not independently licensable financial activities but may be ancillary functions within licensed firms. The licensure of risk management activities supports market stability and investor protection by formalizing oversight of critical financial functions.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Licensing, Section
3.1.2 (2023).
NEW QUESTION # 97
The regulations regarding Key Investor Information Documents for self-managed funds will be breached if the document includes:
Answer: D
Explanation:
For a local investment fund, the fund manager-or the founders where the fund is self-managed-must prepare both the full offering document and an offering-document information summary, commonly described as the Key Investor Information Document (KIID). The CISI UAE Financial Rules and Regulations specifically requires that these documents must not contain promises, guarantees, incorrect information or misleading information. The restriction is fundamental to investor protection because investors must assess a fund on the basis of its disclosed objectives, investment policy, risks and factual characteristics rather than assurances of outcomes that cannot legitimately be guaranteed. Evaluation information is not inherently prohibited; indeed, where in-kind shares are involved, the prospectus contains information relating to their evaluation and a summary of the evaluation report. Similarly, disposal information concerning in-kind assets can form part of required fund disclosures. Complaints information is also not the prohibited element identified by this rule. A reference amounting to a promise or guarantee would therefore breach the prescribed requirements for the offering documents. Consequently, option A is correct.
NEW QUESTION # 98
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