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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 10% | |
| Topic 2: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 3: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 4: Dubai Financial Market (DFM) | 11% | |
| Topic 5: Trading | 11% | |
| Topic 6: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 7: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 8: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct |
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NEW QUESTION # 39
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
Answer: A
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 # 40
The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:
Answer: C
Explanation:
Under the CISI UAE Financial Rules and Regulations, firms applying for a financial activities licence are required to have formal policies addressing client protection, including clear complaints handling procedures.
Such firms must make these proceduresavailable to clients on request, ensuring transparency and accessibility without imposing undue burden on clients or firms. The regulatory framework does not mandate automatic distribution within fixed timeframes upon client acceptance or complaint receipt but emphasizes accessibility and prompt responsiveness when clients seek the information. This approach balances operational feasibility and client rights to be informed about how their complaints will be managed. Providing the procedure upon request also fosters a trust-based relationship and helps resolve disputes effectively.
Reference:CISI UAE Financial Rules and Regulations - Client Protection and Complaints Handling, Section 4.2.7 (2023).
NEW QUESTION # 41
For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:
Answer: A
Explanation:
Per CISI UAE Financial Rules and Regulations governing investment funds, a semi-annual report on the public fund's performance must be prepared no later than 2 months from the end of the semi-annual period.
This reporting timeline ensures timely disclosure to investors and regulators, providing transparency about fund performance, investment activities, and compliance with regulatory standards. The semi-annual report serves as a key accountability mechanism, enabling investors to make informed decisions and maintain confidence in the fund management. The requirement for a two-month deadline aligns with global best practices in fund reporting.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Reporting Requirements, Section
6.5.4 (2023).
NEW QUESTION # 42
Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
Answer: D
Explanation:
An investor must obtain an investor number before opening a trading account and trading securities listed on the Abu Dhabi Securities Exchange (ADX). The CISI UAE Financial Rules and Regulations explains that investor numbers fall into three broad categories: individual, institutional and government. Within the individual category, investor numbers are further divided into national and foreign , making nationality the relevant classification factor. A national individual investor number is assigned to a UAE national natural person, whereas a foreign individual investor number is assigned to a natural person who does not hold Emirati citizenship. Similar national/foreign distinctions apply to institutional and government investor numbers. The ADX rulebook confirms this structure expressly. Neither the investor's tax status, portfolio value nor bank-account status determines whether an individual investor number is classified as national or foreign. Those factors may have relevance elsewhere in account administration or regulatory compliance, but they do not form the subdivision tested by this question. Therefore, the correct response is option B, the nationality of the investor.
NEW QUESTION # 43
In order to be authorised to provide custody, clearing and recording services, which of the following professional roles would the Authority expect to see within a firm acting as registrar of a private joint-stock company?
Answer: C
Explanation:
Custody, clearing and recording constitutes the third licensing category under the CISI UAE Financial Rules and Regulations framework. The main professional functions expected within this category include a Category Manager or Official, Compliance Officer, Risk Management Officer and, ordinarily, an Operations Manager. However, the CISI material makes an important exception for an entity operating only as the registrar of private joint-stock companies: an Operations Manager is not required for that specific activity.
This distinction eliminates option C. An Investment Manager belongs to investment-management functions rather than the registrar activity, while a Broker Representative is associated with brokerage functions and is likewise not the prescribed role in this situation. A Category Manager, by contrast, remains one of the principal professional positions applicable to the third category and is therefore expected within a registrar firm. The same regulatory section identifies registrar of private joint-stock companies as one of the financial activities falling within custody, clearing and recording. Consequently, the correct answer is A, Category Manager.
NEW QUESTION # 44
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