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| Section | Objectives |
|---|---|
| Anti-Money Laundering and Financial Crime | - AML/CFT requirements in the UAE
|
| Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Financial Conduct and Compliance | - Conduct of business standards
|
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NEW QUESTION # 57
During a trading session of the DFM, a selling transaction can be executed:
Answer: A
Explanation:
The Dubai Financial Market operates an electronic, order-driven trading system during its continuous trading session. Once the market enters the normal trading phase, buy and sell orders can be entered and matched according to the applicable price and time priority rules. A security can therefore be bought or sold at any time throughout the continuous trading session , subject to market controls such as price limits, suspensions and other applicable trading restrictions. There is no general rule limiting selling transactions to the first 50 or 55 minutes of each hour, nor is selling universally prohibited during the final 15 minutes of the normal trading phase. The CISI material separately distinguishes continuous trading from pre-opening, pre- closing and closing sessions. During pre-closing, orders are accumulated for the closing auction, while during the final closing session firms cannot enter new orders, adjust existing orders or cancel them. The question, however, refers specifically to execution during the DFM trading session. Accordingly, option A correctly reflects continuous trading principles.
NEW QUESTION # 58
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
Answer: B
Explanation:
Sponsors of companies applying to become Special Purpose Acquisition Companies (SPACs) in the UAE must prepare detailed proposals that specifically address the management of conflicts of interest. This is mandated under CISI UAE Financial Rules and Regulations to ensure that the SPAC's activities remain transparent and investors' interests are protected. Conflicts of interest may arise from the sponsors' dual roles or relationships with target companies or investors. Addressing these conflicts proactively through proposals and policies supports integrity and market confidence. While risk reduction and anti-money laundering are critical, the regulations explicitly highlight conflict management as a core area for SPAC sponsors.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, SPAC Sponsorship Requirements, Section 6.3.4 (2023).
NEW QUESTION # 59
The Authority is permitted to cancel the licence of a licensed body if it fails to practise any financial activity within what prescribed period after obtaining the category licence?
Answer: A
Explanation:
The Authority has the power to cancel the licence of a licensed body, or cancel approval to practise a particular financial activity, in several specified circumstances. One of these circumstances arises when a licensed body does not actually commence the activities for which it has been authorised. The CISI UAE Financial Rules and Regulations states that if, for a period of six months from the date of obtaining the category licence, the licensed body has not practised at least one financial activity specified within that licence, the Authority may cancel the licence. This requirement prevents entities from obtaining regulatory authorisation and leaving it dormant indefinitely without conducting the regulated business for which the licence was granted. Other grounds for cancellation include failure to satisfy licence conditions, serious breaches of duties or obligations, submission of misleading or forged documentation, non-payment of prescribed fees or fines, bankruptcy-related circumstances, dissolution or liquidation. For the inactivity condition tested here, however, the relevant period is specifically six months. Therefore, option A is correct.
NEW QUESTION # 60
An Insiders Register should be prepared for securities issued by:
Answer: B
Explanation:
The Corporate Governance provisions covered by the CISI UAE Financial Rules and Regulations require listed companies to establish controls over transactions undertaken by Board members, employees and other persons who may possess unpublished inside information. The company's Board must issue written rules governing transactions by these insiders in securities issued by the company itself, its parent company, subsidiaries and related companies . A special and comprehensive Insiders Register must then be maintained, including permanent and temporary insiders who have access to internal information before publication. The organisation responsible for the register must monitor insiders' transactions, maintain their disclosures, provide updated insider lists to the SCA and market, and submit the register to the Authority when requested. Limiting the regime to securities issued solely by the company would leave material connected-company dealings outside the monitoring framework. Similarly, options B and C improperly omit either subsidiaries or related companies. The CISI text expressly covers all four categories, making option D the complete and correct answer.
NEW QUESTION # 61
The contract size for an India Gold Quanto Futures contract is:
Answer: D
Explanation:
The Dubai Gold & Commodities Exchange offers several gold-related futures products, and their contract specifications must be distinguished carefully. According to the CISI UAE Financial Rules and Regulations, the India Gold Quanto Futures contract has a contract size of one lot . Its minimum price movement is US$1.00 per lot, and its last trading day is two business days before the final business day of the delivery month. The other quantities in the answer choices belong to different commodity contracts. A standard Gold Futures contract covered by the CISI material uses 32 troy ounces of refined gold, while Shanghai Gold Futures uses a contract size of 1,000 grammes, or one kilogram. A quantity of 1,000 troy ounces is associated with silver futures rather than the India Gold Quanto product. The question therefore tests recognition of the separate DGCX contract specifications rather than conversion between weight measurements. Since the India Gold Quanto Futures contract is expressly specified as one lot, option B is correct.
NEW QUESTION # 62
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