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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) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - SCA Resolutions |
| Topic 2: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 3: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 4: Client Protection | 10% | |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 8: Trading | 11% |
>> UAE-Financial-Rules-and-Regulations Vorbereitungsfragen <<
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28. Frage
A key purpose of customer due diligence measures is to address the risk of:
Antwort: D
Begründung:
Customer due diligence (CDD) is one of the principal preventive controls within the UAE anti-money laundering and counter-terrorist financing framework. Its purpose is to prevent financial institutions and other regulated businesses from being used to disguise criminal proceeds or facilitate prohibited financing. CDD requires firms to identify customers, verify their identity from reliable and independent information, identify and verify beneficial owners where applicable, understand the purpose and intended nature of the business relationship and undertake continuing monitoring. These measures allow the institution to compare actual transactions against its knowledge of the customer and identify activity that may indicate money laundering or terrorist financing. Cybercrime, insider dealing and embezzlement are significant financial-crime risks, but they are not the primary regulatory risk addressed by the CDD provisions tested in this section of the CISI syllabus. The syllabus expressly places CDD within the element dealing with Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations. Therefore, among the options provided, money laundering is the correct answer.
29. Frage
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
Antwort: D
Begründung:
The DFM Professional Code of Conduct imposes a specific restriction on brokerage firms concerning market data and information about entities whose securities are listed on the exchange. A brokerage firm must not publish or promote market data or information concerning the status of a listed entity unless the information has first been verified and made public by the concerned entity . This prevents brokers from distributing unconfirmed, selective or prematurely disclosed information that might influence prices or create information asymmetry between investors. The rule complements broader DFM obligations requiring brokerage firms to act honestly and fairly and to avoid misleading conduct. The broker does not need a separate publication approval from the Authority for every item falling within this rule. Signing a conflict-of-interest disclaimer does not convert unpublished information into permissible market data, and assessing the information's potential impact is not the regulatory trigger allowing publication. The decisive condition is that the information has been verified and publicly disclosed by the entity concerned. Accordingly, option B is correct.
30. Frage
A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?
Antwort: B
Begründung:
The CISI UAE Financial Rules and Regulations specify that public real estate investment funds are mandated to distribute a minimum of 80% of their achieved net profits annually to unit holders. This distribution requirement ensures that investors receive regular income from the fund's operations, promoting investor confidence and fairness. It also aligns with the principle of pass-through taxation and transparency in fund performance. The regulation balances income distribution with fund sustainability, allowing the retention of a portion of profits for operational needs and growth.
Reference: CISI UAE Financial Rules and Regulations - Real Estate Investment Funds, Profit Distribution Requirements, Section 6.7.2 (2023).
31. Frage
Each licence applicant must submit a risk management guide that includes:
Antwort: D
Begründung:
In the UAE regulatory framework, every licence applicant is mandated to provide a comprehensive risk management guide. As per CISI UAE Financial Rules and Regulations, this guide must explicitly address the development and implementation of policies and procedures to identify, assess, monitor, and mitigate risks within the licensed entity. This requirement ensures that firms proactively manage financial, operational, and compliance risks, safeguarding market integrity and client interests. While other governance and compliance mechanisms such as compliance officer resources and internal auditor independence are important, the risk management guide specifically focuses on how the firm establishes and enforces risk-related policies and procedures. This foundational element of risk governance demonstrates the applicant's readiness and capability to operate safely within the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, Risk Management Requirements, Section 3.2.7 (2023).
32. Frage
When establishing a local investment fund, how much are the founders required to subscribe?
Antwort: D
Begründung:
When establishing a local investment fund in the UAE, the founders are required to subscribe a minimum amount to demonstrate commitment and to comply with the legal and financial requirements set by the Securities and Commodities Authority (SCA). The minimum required subscription is at least 10 million dirhams. This ensures that the fund has a solid financial base, contributing to its credibility and ability to cover initial operational and management expenses. The founders' subscription also serves to align their interests with those of potential investors and provides an assurance of the fund's viability and long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Fund Formation Requirements, Section 6.1.2 (2023).
33. Frage
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