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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Trading | 11% | |
| Topic 2: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 3: Client Protection | 10% | |
| Topic 4: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Federal Law No. 4 of 2000 |
| Topic 7: Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Topic 8: Markets | 11% | - General background - Disclosure and Transparency |
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NEW QUESTION # 29
Which of the following features of a previous order can be changed with the order remaining valid?
Answer: B
Explanation:
In UAE financial markets, certain order attributes can be modified after submission while keeping the order active. According to the CISI UAE Financial Rules and Regulations on Trading, thevolumeof a previous order is the feature that can be changed without invalidating the order. Adjusting volume allows traders to increase or decrease the quantity of securities to be traded without withdrawing and resubmitting the order.
However, changes to share category, market, or order type typically require cancellation of the existing order and placing a new one, as these changes affect the fundamental nature and execution venue of the order. This flexibility in modifying volume supports market efficiency and helps traders respond swiftly to changing conditions while maintaining order validity.
Reference:CISI UAE Financial Rules and Regulations - Trading Rules and Order Modifications, Section
7.1.5 (2023).
NEW QUESTION # 30
What happens if a listed company has its shares suspended for six months or more?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations divides listed companies into first- and second-category listings according to prescribed financial and regulatory criteria. To remain in the first category, a company's shares must not have been suspended from trading for six months or more, and its accumulated losses must remain below the prescribed threshold. Where the shares have been suspended for six months or more , the market transfers the company's listing from the first category to the second category . Once transferred, the shares may subsequently resume trading under the special arrangements applicable to second-category companies. Such securities are displayed through a dedicated market screen, together with information identifying their second-category status and relevant investor-risk disclosures. The six-month suspension therefore produces a listing-category consequence rather than merely an automatic fine or unspecified enhanced supervision. Movement into the first category would be the opposite of the prescribed regulatory treatment. Accordingly, the CISI rule directly supports option A.
NEW QUESTION # 31
The statement in a suitability report giving reasons for the recommendation must also indicate:
Answer: D
Explanation:
In CISI UAE Financial Rules and Regulations, suitability reports must include a clear statement addressing the client's ability to bear any risks and losses associated with the recommended financial product or service.
This disclosure ensures that recommendations are made with a full understanding of the client's financial capacity and risk tolerance, protecting clients from unsuitable advice. While explanations about alternative products, client acceptance, and author qualifications are relevant, the ability to bear risk is essential to justify the recommendation and meet regulatory standards for investor protection.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Suitability Reporting, Section
4.3.11 (2023).
NEW QUESTION # 32
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
Answer: B
Explanation:
In the case of an in-kind share transfer where two evaluators produce different fair value figures, the average of the two amounts is typically used. This approach helps ensure fairness and reduces the risk of biases from individual evaluations. The CISI UAE Financial Rules and Regulations recommend averaging the values to arrive at a reasonable and balanced assessment, especially when the evaluators may have different methods or opinions regarding the valuation of assets. This method is widely accepted as it prevents any single evaluator's assessment from disproportionately influencing the final valuation.
Reference: CISI UAE Financial Rules and Regulations - In-kind Share Transfer Valuation, Section 8.4.2 (2023).
NEW QUESTION # 33
When promoting private funds, related materials must:
Answer: B
Explanation:
Promotional materials for private funds in the UAE must clearly clarify the fund's specific nature and include the required disclaimer as prescribed by the Authority. This requirement ensures that potential investors receive accurate and compliant information about the private fund's characteristics, risks, and restrictions. The disclaimer serves to limit investor expectations and legal liabilities. While certain media restrictions and content approvals may apply in some jurisdictions, the key regulatory focus is on transparency and proper disclosure within promotional materials to protect investor interests.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Promotion and Disclosure Requirements, Section 6.3.9 (2023).
NEW QUESTION # 34
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