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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

Section	Weight	Objectives
Dubai Financial Market (DFM)	11%
Markets	11%	- General background - Disclosure and Transparency
Licensed Bodies	14%	- Requirements of capital market institutions - Licensing financial activities - General provisions
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations	14%	- Federal Law No. 20 of 2018
Investment Funds	11%	- The local fund - Provisions specific to certain public funds
The Regulatory Infrastructure	17%	- SCA Resolutions - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021)
Client Protection	10%
Trading	11%

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q28-Q33):

NEW QUESTION # 28
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?

A. 50%
B. 70%
C. 60%
D. 80%

Answer: B

Explanation:
According to CISI UAE Financial Rules and Regulations, brokerage companies must use 70% of the market value of securities they own to increase the value of their guarantee. This guarantee acts as a financial safeguard to ensure the firm's stability and protect clients and counterparties against default risk. The 70% proportion strikes a balance between maximizing the leverage of owned securities and maintaining prudent risk management. It reflects the regulatory emphasis on requiring sufficient collateral and guarantees to support brokerage operations, maintaining market confidence and financial soundness within the UAE capital markets.
Reference: CISI UAE Financial Rules and Regulations - Brokerage Firms Guarantees, Section 3.3.9 (2023).

NEW QUESTION # 29
Membership of an Authority regulated market is obligatory for which of the following entities?

A. Listed joint-stock companies, licensed brokers and other listed entities
B. Listed joint-stock companies, licensed brokers and any other type of business entity
C. Listed joint-stock companies and licensed brokers
D. Licensed brokers

Answer: A

Explanation:
Under the UAE regulatory framework, membership of an Authority-regulated market is obligatory for listed joint-stock companies, licensed brokers, and other listed entities. This requirement ensures that all entities involved in public trading or listed on the market adhere to the regulatory standards set by the market's governing body. It provides a structured environment for trading and market oversight, promoting transparency and fairness. The inclusion of licensed brokers and other listed entities ensures that all market participants are subject to the same rules, helping to maintain integrity and stability in the market.
Reference: CISI UAE Financial Rules and Regulations - Market Membership Requirements, Section 3.1.4 (2023).

NEW QUESTION # 30
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

A. When conducting real estate transactions within the UAE
B. When providing services relating to beneficiaries of insurance policies
C. When providing legal opinion with regards to legal proceedings
D. When advising on financial transactions for politically exposed persons

Answer: C

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 # 31
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A. All public companies which have declared losses in the last 12 months
B. Companies in the second category
C. Companies in the first category
D. All private companies which have declared losses in the last 12 months

Answer: A

Explanation:
Per CISI UAE Financial Rules and Regulations, the watch list monitored by the Authority's committee consists of all public companies that have declared losses in the last 12 months. These companies are subject to closer regulatory scrutiny to protect investors and maintain market stability. Monitoring focuses on financial health indicators that might signal increased risk, ensuring timely intervention if necessary. Private companies are generally not included in this watch list, which targets publicly traded entities with broader investor impact.
Reference: CISI UAE Financial Rules and Regulations - Market Surveillance and Watch List, Section 5.6.4 (2023).

NEW QUESTION # 32
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?

A. Life imprisonment and a penalty of no less than AED 300,000 and no more than AED 1,000,000
B. Temporary imprisonment of no less than ten years, and a penalty of no less than AED 300,000 and no more than AED 10,000,000
C. Life imprisonment or temporary imprisonment of no less than ten years, and a penalty of no less than AED 300,000 and no more than AED 10,000,000
D. Life imprisonment and a penalty of no less than AED 500,000 and no more than AED 10,000,000

Answer: C

Explanation:
Under the Federal Decree-Law No. 20 of 2018 framework covered by the CISI UAE Financial Rules and Regulations syllabus, using proceeds for the financing of terrorism attracts one of the most severe criminal sanctions in the AML/CFT regime. Article 22 provides for life imprisonment or temporary imprisonment for a period of no less than ten years , together with a fine of not less than AED 300,000 and not more than AED 10 million . Option A reproduces both elements correctly. Option B improperly removes life imprisonment as an available sanction. Option C incorrectly raises the minimum financial penalty to AED
500,000 and treats life imprisonment as mandatory. Option D gives an incorrect maximum fine of AED 1 million. This provision should also be distinguished from ordinary money laundering and aggravated money- laundering offences, which have separate sentencing structures. For purposes of the CISI syllabus section expressly based on Federal Law No. 20 of 2018, the complete penalty described in option A is therefore correct.

NEW QUESTION # 33
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