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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Topic 2: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Topic 3: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Topic 5: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 6: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
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NEW QUESTION # 69
For how many days after issuing a report must an in-kind shares evaluator refrain from trading in securities associated with the subject of the evaluation?
Answer: D
Explanation:
The rules governing evaluators of in-kind shares impose personal-dealing restrictions intended to preserve independence and prevent an evaluator from exploiting information obtained during the valuation process. An evaluator must disclose securities related to the evaluation report that they owned before preparing the report.
More importantly, the CISI UAE Financial Rules and Regulations imposes a defined dealing blackout surrounding publication of the valuation. The evaluator must refrain from trading securities associated with the subject of the evaluation, including related financial derivatives, for 15 days before issuing the evaluation report and five days after the report is issued . The question specifically asks for the post-report restriction, so the correct period is five days. Fifteen days is relevant, but it applies to the period preceding issuance and is therefore a deliberate distractor. Ten and thirty days are not the prescribed post-publication periods. These restrictions reduce the risk that an evaluator can personally benefit from valuation-sensitive information or create an appearance that the valuation was influenced by personal trading interests. Therefore, option A is correct.
NEW QUESTION # 70
The regulations regarding Key Investor Information Documents for self-managed funds will be breached if the document includes:
Answer: C
Explanation:
For a local investment fund, the fund manager-or the founders where the fund is self-managed-must prepare both the full offering document and an offering-document information summary, commonly described as the Key Investor Information Document (KIID). The CISI UAE Financial Rules and Regulations specifically requires that these documents must not contain promises, guarantees, incorrect information or misleading information. The restriction is fundamental to investor protection because investors must assess a fund on the basis of its disclosed objectives, investment policy, risks and factual characteristics rather than assurances of outcomes that cannot legitimately be guaranteed. Evaluation information is not inherently prohibited; indeed, where in-kind shares are involved, the prospectus contains information relating to their evaluation and a summary of the evaluation report. Similarly, disposal information concerning in-kind assets can form part of required fund disclosures. Complaints information is also not the prohibited element identified by this rule. A reference amounting to a promise or guarantee would therefore breach the prescribed requirements for the offering documents. Consequently, option A is correct.
NEW QUESTION # 71
What happens to a day order to sell on the DFM if it is not executed by the end of that day?
Answer: C
Explanation:
A day order is an order whose validity is restricted to the trading day on which it is entered. Unlike a good-till- cancelled order, which can remain available for execution across subsequent trading sessions until cancelled or otherwise terminated under applicable rules, a day order does not carry forward automatically.
Consequently, if a DFM day order to sell remains unexecuted when the trading day ends, the order automatically expires . The investor does not receive a post-close choice simply to carry the same day order into the following session, and the broker does not possess discretion to convert an expired day order automatically into a continuing order. If the investor still wishes to sell the securities on the following trading day, a new valid order must be entered under the appropriate order-validity instruction. The distinction between day orders and longer-duration orders is important because it determines how long an instruction remains exposed to the market. Therefore, among the alternatives provided, automatic expiry at the end of the trading day accurately reflects the nature of a day order, making option C correct.
NEW QUESTION # 72
When a licensed firm refers a client complaint to another body, it must:
Answer: B
Explanation:
A licensed firm's complaint-handling procedures must address situations where another body is wholly or partially responsible for the subject matter of a client's complaint. The applicable SCA rules require the firm to notify the complainant that referral is proposed and, if the complainant agrees, refer the relevant portion immediately while supplying written information concerning the referral date, responsible person and contact details. Importantly, where only part of the complaint is referred, the original licensed firm must continue handling any part of the complaint that was not referred . This prevents unresolved elements from being abandoned merely because another organisation has responsibility for a separate aspect of the matter. The regulations do not require suspension of the remaining complaint. Nor is notification limited simply to a telephone call or email, since formal dated and written notification requirements apply. The provision also uses a ten-business-day period in relation to a complainant refusing or failing to respond to a referral-not a
30-day appeal period. Therefore, option B accurately reflects the prescribed complaint-handling procedure.
NEW QUESTION # 73
A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?
Answer: B
Explanation:
CISI UAE Financial Rules and Regulations define that cash investment funds may hold commercial papers and deposit certificates only. Medium-term bonds are typically excluded from cash funds as they have longer maturities and more interest rate risk, which conflicts with the liquidity and capital preservation objectives of cash funds. Commercial papers and deposit certificates, with their shorter maturities and high liquidity, are appropriate instruments for cash funds, providing stable, low-risk returns in line with regulatory requirements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Asset Eligibility, Section 6.4.3 (2023).
NEW QUESTION # 74
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