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| Section | Weight | Objectives |
|---|---|---|
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Client Protection | 10% | |
| Dubai Financial Market (DFM) | 11% | |
| Trading | 11% | |
| Markets | 11% | - General background - Disclosure and Transparency |
| The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Codes of Conduct - Federal Law No. 4 of 2000 |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
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NEW QUESTION # 172
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
Answer: D
Explanation:
Behaviour regulations submitted by license applicants, such as a professional code of ethics, are classified undergovernance regulationswithin the CISI UAE Financial Rules and Regulations framework. Governance regulations encompass policies, standards, and codes that guide the ethical conduct, integrity, and responsibilities of licensed entities and their employees. They are designed to promote accountability, compliance, and good corporate citizenship within the financial industry. Unlike technical systems, which relate to operational infrastructure, or employee regulations focused on HR and workplace rules, governance regulations provide the overarching ethical and procedural guidelines essential for sustaining market confidence and protecting stakeholders. The inclusion of a professional code of ethics ensures license applicants demonstrate commitment to the principles of fairness, transparency, and fiduciary duty, which are fundamental requirements by the Securities and Commodities Authority (SCA) for licensing approval.
Reference:CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Governance, Section
3.1.4 (2023).
NEW QUESTION # 173
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:
Answer: D
Explanation:
For a financial promotion that quotes yield figures to comply with the clear, fair, and not misleading rule, it must give a balanced impression of both short and long term prospects. This ensures that the promotion does not mislead the client by focusing too heavily on short-term returns or exaggerating long-term performance. A balanced presentation of both short and long-term outcomes is essential for providing a full, accurate picture of the investment, allowing clients to make informed decisions. This approach aligns with the principles of transparency and fairness that underpin financial regulation.
Reference: CISI UAE Financial Rules and Regulations - Financial Promotions and Yield Quotes, Section
5.2.3 (2023).
NEW QUESTION # 174
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, if a client holds a debit balance with a brokerage firm on the Dubai Financial Market (DFM), the firm is prevented from accepting new orders from that client until the debit balance is cleared. This measure protects both the brokerage firm and market integrity by ensuring that clients do not accumulate unpaid debts from trading activities, thereby reducing credit risk. The restriction applies specifically to new orders; other services such as providing advice or selling securities may continue under certain conditions.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Debit Balance Controls, Section 4.4.12 (2023).
NEW QUESTION # 175
The role of the authorised agent of the exchange-traded fund (ETF) is to:
Answer: C
Explanation:
The authorised agent of an ETF has a critical role in maintaining transparency and liquidity in the market.
According to CISI UAE Financial Rules and Regulations, the authorised agent is responsible for regularly announcing the indicative value of the net assets of the ETF units. This indicative net asset value (iNAV) provides investors and market participants with a near real-time estimate of the underlying assets' value, reflecting market fluctuations throughout the trading day. Unlike the official net asset value (NAV), which is typically calculated at the end of the trading day, the iNAV supports intra-day trading decisions and helps maintain price alignment between the ETF units and their underlying assets. This responsibility is fundamental in ensuring efficient price discovery and protecting investor interests in the ETF market.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and ETF Operations, Section
6.4.2 (2023).
NEW QUESTION # 176
There is a regulatory obligation placed on the evaluator of an investment fund's in-kind shares to indicate whether the shares:
Answer: A
Explanation:
Under the CISI provisions concerning evaluation of in-kind shares for investment funds, an evaluator has specific responsibilities relating to valuation quality, liquidity and risk. The evaluator must prepare the evaluation report in accordance with applicable international standards, use sufficient and complete information, properly assess the asset and clarify whether the in-kind shares provided to the investment fund are capable of being liquidated. This liquidity determination is important because an asset that cannot readily be disposed of may materially affect the fund's ability to implement its investment policy, meet liquidity requirements or realise value for investors. The evaluator must also analyse risks associated with the evaluated asset and reflect their potential effect on future expectations and assumptions used in the valuation.
The CISI requirement does not specifically require the evaluator, for this purpose, to state whether the shares were acquired at a discount, classify them as short- or long-term assets, or identify them as capital-growth or income-oriented investments. Consequently, option B directly corresponds to the evaluator obligation specified in the CISI study material.
NEW QUESTION # 177
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