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| Section | Weight | Objectives |
|---|---|---|
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
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NEW QUESTION # 105
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 # 106
What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations includes detailed contract specifications for the principal commodity futures products traded on the Dubai Gold & Commodities Exchange (DGCX). For the Dubai India Quanto Crude Oil Futures contract, the standard contract size is three barrels . The same specification provides a minimum price movement of US$1 and defines the last trading day as four business days before the 25th calendar day of the month preceding the delivery month. The product should not be confused with other crude-oil futures contracts covered in the syllabus. For example, the DGCX Mini West Texas Intermediate crude-oil contract uses a contract size of 100 barrels, which explains why option C is a plausible distractor. Different oil products employ different contract multipliers, settlement calculations and delivery-month structures. The Dubai India Quanto structure is specifically designed to provide India-related crude-oil price exposure while incorporating the relevant currency conversion mechanism. Since the CISI contract specification expressly states three barrels, option A is correct.
NEW QUESTION # 107
Where an existing public company wants to issue further shares via a rights issue, this must be announced at least what minimum period before the start date of the subscription?
Answer: C
Explanation:
The UAE rules governing capital increases by public joint-stock companies establish specific disclosure requirements for rights offerings. According to the CISI UAE Financial Rules and Regulations material, a rights issue must be announced at least 20 business days before the subscription period begins. The advance notice gives existing shareholders sufficient time to assess the proposed capital increase and determine whether to exercise, sell or otherwise deal with their subscription rights. The announcement is expected to provide material details such as the amount and percentage of the capital increase, the exercise price of the rights, the opening and closing dates for trading the rights, and the opening and closing dates for subscribing to the new shares. The rights themselves are traded separately from the existing shares for the prescribed trading period. The alternatives of 28 or 56 calendar days and 40 business days do not represent the minimum announcement period specified in the CISI material. Therefore, the required minimum advance announcement period is 20 business days, making option A correct.
NEW QUESTION # 108
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
Answer: C
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 # 109
The semi-annual financial report for a local investment fund must be audited by an external auditor within what maximum period following the end of the reporting period?
Answer: C
Explanation:
The UAE investment fund regulations distinguish between financial reports and other performance reports of a local fund. The investment fund administrator is responsible for maintaining the fund's accounts and preparing financial reports in accordance with International Financial Reporting Standards. The semi-annual financial report must be audited by an independent external auditor within no more than 45 days from the end of the relevant semi-annual period. In contrast, the annual financial report has a longer deadline: it must be audited by an independent external auditor within no more than three months after the end of the local fund's financial year. This distinction is important because another CISI requirement applies to the semi- annual performance report of a public fund, which has a different preparation deadline. The present question specifically asks about the semi-annual financial report and its external audit , so the applicable maximum is 45 days. Neither 35 days nor two or three months represents the required deadline for this report. Therefore, option B is correct.
NEW QUESTION # 110
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