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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 2: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 3: Trading | 11% | |
| Topic 4: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 7: The Regulatory Infrastructure | 17% | - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - SCA Resolutions - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 8: Client Protection | 10% |
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NEW QUESTION # 78
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, a public joint-stock company is automatically barred from executing a buyback transaction if it issued shares in a public offer in the last six months. This regulatory restriction is designed to prevent market manipulation and protect shareholders' interests by ensuring sufficient market stability following a new share issuance. Buybacks shortly after public offerings could distort share prices or unfairly affect market liquidity. Other conditions like being an insurance company or state-designated firm do not automatically preclude buybacks under these regulations. This rule aligns with international corporate governance best practices governing share repurchases.
Reference: CISI UAE Financial Rules and Regulations - Share Buyback Rules, Section 5.4.7 (2023).
NEW QUESTION # 79
What happens if a listed company has its shares suspended for six months or more?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations divides listed companies into first- and second-category listings according to prescribed financial and regulatory criteria. To remain in the first category, a company's shares must not have been suspended from trading for six months or more, and its accumulated losses must remain below the prescribed threshold. Where the shares have been suspended for six months or more , the market transfers the company's listing from the first category to the second category . Once transferred, the shares may subsequently resume trading under the special arrangements applicable to second-category companies. Such securities are displayed through a dedicated market screen, together with information identifying their second-category status and relevant investor-risk disclosures. The six-month suspension therefore produces a listing-category consequence rather than merely an automatic fine or unspecified enhanced supervision. Movement into the first category would be the opposite of the prescribed regulatory treatment. Accordingly, the CISI rule directly supports option A.
NEW QUESTION # 80
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: A
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 # 81
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations require that firms offering investment management services deliver periodic statements to retail clients at least every 6 months under normal circumstances. This frequency strikes a balance between providing clients with timely updates on their investments and operational practicality for firms. The statements include performance, transaction details, fees, and holdings, enabling retail clients to monitor their portfolios and make informed decisions. More frequent reporting may be required in special situations, but semi-annual reporting is the standard minimum.
Reference: CISI UAE Financial Rules and Regulations - Client Reporting Requirements, Section 4.5.3 (2023).
NEW QUESTION # 82
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
Answer: A
Explanation:
Under CISI UAE Financial Rules and Regulations, risk management is among the prescribed financial activities for which the Securities and Commodities Authority (SCA) issues licenses. Licensing ensures that entities engaging in financial risk assessment and mitigation services meet regulatory standards related to expertise, governance, and compliance. Activities such as analysis, promotion, and corporate planning are not independently licensable financial activities but may be ancillary functions within licensed firms. The licensure of risk management activities supports market stability and investor protection by formalizing oversight of critical financial functions.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Licensing, Section
3.1.2 (2023).
NEW QUESTION # 83
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