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| Section | Weight | Objectives |
|---|---|---|
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
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問題 #167
Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
答案：D
解題說明：
Where in-kind shares are contributed to a local investment fund, the prospectus must provide comprehensive disclosure so that investors understand the nature and potential valuation risks of those assets. The SCA investment-fund regulations require the prospectus to provide full information about each in-kind share, its owner and value, the number of units issued against it and a summary of the in-kind valuation report. It must additionally explain the extent to which the in-kind shares can subsequently be disposed of and the extent to which their values may vary after the fund has been established according to market circumstances and subsequent valuation reports . Option A therefore accurately captures the required disclosure concerning potential fluctuations in value. There is no requirement in this provision to identify alternative assets that were considered. An evaluation report is not treated as unnecessary; instead, its summary is specifically required.
Nor does this particular prospectus disclosure require the fund to identify specific legislation authorising the contribution. The regulatory focus is transparency over valuation and liquidity risks. Therefore, option A is correct.
問題 #168
Each licence applicant must provide a guide regulating the internal audit processes that includes:
答案：D
解題說明：
Licence applicants must maintain separate regulatory frameworks for risk management, compliance and internal audit, and this question distinguishes the requirements belonging specifically to internal audit. The internal audit guide must contain procedures allowing the internal auditor to act independently without interference or incompatible duties; procedures ensuring access to relevant records and information; arrangements for access to the board, senior officer or relevant board committee when necessary; and a mechanism for informing the financial auditor immediately about any matter that may affect the licensed body's financial position. It must also document the structure, responsibilities and procedures of the internal audit function. Option A belongs to the risk-management framework rather than internal audit. Option B resembles the requirement for the compliance officer to have adequate resources. Option D is also incorrectly worded because the relevant regulatory roles require appropriate access rather than access subject to arbitrary limited restrictions. Option C reproduces a specific internal-audit requirement and is therefore the correct answer.
問題 #169
A firm which intends to send advertising material directly to a client has been correctly advised that many of the financial promotion rules are inapplicable. This is because:
答案：B
解題說明：
The CISI UAE Financial Rules and Regulations distinguishes between categories of clients because the level of regulatory protection appropriate for each category differs. Retail clients receive the greatest degree of protection, while professional clients are assumed to possess greater expertise. Eligible counterparties are sophisticated market participants for whom a substantial number of detailed conduct-of-business requirements are unnecessary. Accordingly, the CISI Client Protection chapter states that the majority of the normal rules governing client communications and financial promotions do not apply when the recipient is an eligible counterparty. This does not mean communications can be deliberately false or abusive; overarching requirements concerning proper conduct and market integrity continue to apply. The exemption is based on client categorisation, not the number of people employed by the regulated firm. Politically exposed person status is primarily relevant to enhanced AML customer due diligence rather than financial-promotion exemptions. Similarly, operating an execution-only service does not itself remove the normal communication requirements. Therefore, the fact that the recipient is an eligible counterparty explains why many financial- promotion rules are disapplied, making option D correct.
問題 #170
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
答案：C
解題說明：
According to CISI UAE Financial Rules and Regulations, brokerage companies must use 70% of the market value of securities they own to increase the value of their guarantee. This guarantee acts as a financial safeguard to ensure the firm's stability and protect clients and counterparties against default risk. The 70% proportion strikes a balance between maximizing the leverage of owned securities and maintaining prudent risk management. It reflects the regulatory emphasis on requiring sufficient collateral and guarantees to support brokerage operations, maintaining market confidence and financial soundness within the UAE capital markets.
Reference: CISI UAE Financial Rules and Regulations - Brokerage Firms Guarantees, Section 3.3.9 (2023).
問題 #171
Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?
答案：A
解題說明：
For foreign politically exposed persons (PEPs), CISI UAE Financial Rules and Regulations require that firms undertake rigorous customer due diligence, including attempting to establish the source of funds. Establishing the legitimacy and origin of funds is crucial to prevent illicit money laundering and terrorism financing. While risk/benefit analyses and regulatory approvals are important, the direct verification of fund sources is a primary control measure against financial crimes involving PEPs. Checking watchlists like Interpol's is supplementary but not sufficient alone. This requirement safeguards the financial system and aligns with Federal Law No. 20 of 2018's anti-money laundering mandates.
Reference: CISI UAE Financial Rules and Regulations - AML Controls and PEP Risk Management, Section
8.2.9 (2023).
問題 #172
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