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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - SCA Resolutions |
| Topic 2: Trading | 11% | |
| Topic 3: Dubai Financial Market (DFM) | 11% | |
| Topic 4: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 5: Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Topic 6: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 7: Client Protection | 10% | |
| Topic 8: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
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NEW QUESTION # 164
Where a manager employed by a legal person is found to have committed a money laundering crime for its account, the minimum fine that can be imposed is:
Answer: D
Explanation:
The UAE AML framework distinguishes between criminal penalties imposed on natural persons and financial liability imposed on legal persons. Under the CISI UAE Financial Rules and Regulations treatment of Federal Law No. 20 of 2018, where representatives, managers or agents of a legal person commit money laundering, financing of terrorism or financing of illegal organisations for the legal person's account or in its name, the legal person may be fined. The prescribed fine is not less than AED 500,000 and not more than AED 50 million . The question asks only for the minimum amount, which is therefore AED 500,000. The liability is expressed as a statutory monetary range, not as 1% or 2% of annual turnover. AED 250,000 is also below the minimum prescribed for the legal person in this circumstance. Separate penalties can apply directly to the natural person who actually committed the underlying offence, but that does not change the minimum fine applicable to the legal entity itself. Accordingly, option D is correct.
NEW QUESTION # 165
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:
Answer: C
Explanation:
Under the UAE Anti-Money Laundering (AML) laws and regulations, financial institutions are required to periodically test the effectiveness of their internal policies, controls, and procedures designed to combat money laundering. The independent audit function is specifically responsible for testing and evaluating these AML frameworks. The independent auditor must assess whether the institution's systems and procedures effectively detect, prevent, and report suspicious transactions and activities. This audit ensures that the policies are up-to-date, comprehensive, and compliant with both local and international standards. Regular audits provide an additional layer of scrutiny, ensuring that financial institutions can demonstrate their commitment to preventing money laundering and terrorist financing.
Reference: CISI UAE Financial Rules and Regulations - AML Testing and Audits, Section 9.5.2 (2023).
NEW QUESTION # 166
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?
Answer: A
Explanation:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, lawyers, notary publics, and other legal professionals may be exempt from suspicious transaction reporting requirements when providing legal opinions related to legal proceedings. This exemption recognizes the privileged nature of legal advice and the confidentiality inherent in legal representation. However, when these professionals engage in financial or transactional activities outside the scope of legal proceedings, such as advising on financial transactions or real estate deals, they must comply with reporting obligations to prevent money laundering.
The exemption balances legal professional privilege with AML/CTF requirements.
Reference: CISI UAE Financial Rules and Regulations - AML Exemptions for Legal Professionals, Section
8.3.1 (2023).
NEW QUESTION # 167
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations sets out specific operational responsibilities for the Depository Centre following approval of a security's listing. Within one week from approval of the listing, the Depository Centre must install a terminal device for the registrar of the listed entity. The terminal enables the registrar to access the register, make necessary inquiries and perform required updates. Related rules also require the issuer, within one week of listing approval, to provide the Depository Centre with an up-to-date copy of its shareholder register and subsequently update it whenever necessary. These arrangements ensure that ownership information maintained by the Depository Centre remains accurate and current. This is particularly important because Depository Centre records provide legal evidence of securities ownership and support rights such as voting, dividends and bonus-share entitlements. The prescribed period is therefore one week, not three days, 15 days or three weeks. Accordingly, the maximum period specified in the CISI material for installation of the terminal device is one week, making option B correct.
NEW QUESTION # 168
The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations require that the whistleblowing policy submitted by licence applicants incorporates a clear mechanism for protecting the reporting employee. This protection includes confidentiality safeguards, protection against retaliation, and secure channels for raising concerns. Ensuring the safety and anonymity of whistleblowers is fundamental to encouraging the reporting of unethical or illegal conduct, thereby enhancing regulatory compliance and corporate governance. Other aspects such as escalation procedures and disciplinary measures are important but secondary; the central pillar of effective whistleblowing policy is the protection of the individual who reports wrongdoing.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Whistleblowing, Section 3.4.2 (2023).
NEW QUESTION # 169
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