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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Topic 2: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Topic 3: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 4: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 5: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Topic 6: Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Topic 7: Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
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NEW QUESTION # 90
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
Answer: D
Explanation:
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).
NEW QUESTION # 91
Each licence applicant must submit a risk management guide that includes:
Answer: C
Explanation:
In the UAE regulatory framework, every licence applicant is mandated to provide a comprehensive risk management guide. As per CISI UAE Financial Rules and Regulations, this guide must explicitly address the development and implementation of policies and procedures to identify, assess, monitor, and mitigate risks within the licensed entity. This requirement ensures that firms proactively manage financial, operational, and compliance risks, safeguarding market integrity and client interests. While other governance and compliance mechanisms such as compliance officer resources and internal auditor independence are important, the risk management guide specifically focuses on how the firm establishes and enforces risk-related policies and procedures. This foundational element of risk governance demonstrates the applicant's readiness and capability to operate safely within the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, Risk Management Requirements, Section 3.2.7 (2023).
NEW QUESTION # 92
Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:
Answer: B
Explanation:
For self-funded founders accepting in-kind shares into a fund, the CISI UAE Financial Rules and Regulations require that the fund prospectus clearly state whether such shares are consistent with the fund's investment strategy. This ensures transparency for investors regarding the nature and suitability of the assets held within the fund. Declaring consistency with the investment strategy helps investors assess the fund's objectives and risk profile accurately. Other details like valuation and disposal are important but the primary disclosure focus is on strategic alignment to maintain trust and regulatory compliance. This requirement underscores the importance of fund governance and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds, Fund Prospectus Requirements, Section 6.2.4 (2023).
NEW QUESTION # 93
Why would a transaction in securities listed on the market be declared null and void?
Answer: A
Explanation:
The Central Depository performs a fundamental legal and operational function by maintaining the official register of transactions in securities listed on UAE markets. Under the CISI UAE Financial Rules and Regulations, the Depository Centre must keep a register of all transactions involving securities listed on the market. The rule expressly states that any transaction in listed securities that is not registered is deemed null and void . Registration provides the official record needed to establish securities ownership, complete settlement, maintain investor accounts and support rights arising from ownership. A transaction that bypasses this prescribed recording process therefore lacks the regulatory recognition required for a valid market transaction. The other answer choices concern different regulatory obligations or potential misconduct but do not constitute the specific statutory ground for treating the securities transaction itself as null and void. A board member's misconduct, reporting failures or deficiencies in daily monitoring may lead to separate enforcement or governance consequences. The direct trigger tested here is failure to record the transaction according to applicable regulatory provisions. Therefore, option A is correct.
NEW QUESTION # 94
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
Answer: D
Explanation:
According to CISI UAE Financial Rules and Regulations, applicants for a financial activities licence must ensure that their record-keeping systems allow for recovery of electronic records from archives within a maximum period of three business days. This requirement ensures timely access to data necessary for audits, investigations, and regulatory reviews. The three-business-day timeframe balances operational feasibility with regulatory needs for responsiveness and data integrity, supporting transparency and compliance in the UAE financial sector.
Reference: CISI UAE Financial Rules and Regulations - Record-Keeping and Data Recovery Procedures, Section 3.5.10 (2023).
NEW QUESTION # 95
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