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| Section | Weight | Objectives |
|---|---|---|
| Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Markets | 11% | - General background - Disclosure and Transparency |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct |
| Client Protection | 10% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% |
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NEW QUESTION # 149
When establishing a local investment fund, how much are the founders required to subscribe?
Answer: C
Explanation:
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).
NEW QUESTION # 150
The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
Answer: C
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 # 151
The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
Answer: B
Explanation:
The Dubai Gold & Commodities Exchange (DGCX) contract specification for West Texas Intermediate (WTI) Light Sweet Crude Oil Futures establishes a clearly defined expiry timetable. The last trading day is four business days prior to the 25th calendar day of the month preceding the expiry or delivery month .
For example, if the futures contract relates to March, its last trading day falls on the fourth business day before 25 February. This convention allows sufficient time between the termination of trading and final cash- settlement procedures. The DGCX specification applies the same last-trading-day structure to its standard WTI contract and the Mini WTI product, although their contract sizes and tick values differ. Option A incorrectly relates expiry to the final business day of the delivery month, while option B has no basis in the WTI specification. Option D resembles expiry conventions associated with other commodity contracts and is not the applicable WTI rule. Consequently, the contract specification confirms that option C is correct.
NEW QUESTION # 152
What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
Answer: D
Explanation:
Remote access to the Abu Dhabi Securities Exchange is available only to foreign brokerage companies that meet the ADX's prescribed eligibility conditions. Among those conditions, the foreign brokerage firm must be properly licensed for financial brokerage in its home jurisdiction by a regulator comparable to the SCA, and that regulator must operate appropriate KYC, customer due diligence and AML/CFT standards. The rules also state expressly that the firm's licence must not previously have been refused by any regulatory authority similar to the Authority . A prior refusal therefore means that an essential eligibility condition for remote access is not satisfied. It is not a matter that can be cured merely by supplying additional collateral or accepting restricted trading privileges. The rule is framed as an entry condition, not simply a discretionary risk factor to be considered by the ADX board. Consequently, a foreign brokerage company with such a previous licensing refusal does not qualify for remote access approval under the stated conditions. Among the options supplied, this makes automatic rejection the correct outcome. Therefore, option D is correct.
NEW QUESTION # 153
A key reason why the regulator applies financial promotion rules is to ensure that:
Answer: C
Explanation:
Financial promotion rules are enforced by the regulator primarily to ensure that customers are treated fairly.
These rules govern how financial products and services are marketed to prevent misleading, deceptive, or aggressive promotions that could harm investors. By regulating promotional materials and communications, the Authority aims to protect consumers, enable informed decision-making, and maintain trust in the financial markets. While market competitiveness and operational risk management are important, customer fairness is the central objective of financial promotion regulations in the UAE.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Financial Promotions, Section 4.2.1 (2023).
NEW QUESTION # 154
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