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| Section | Weight | Objectives |
|---|---|---|
| Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Client Protection | 10% | |
| Dubai Financial Market (DFM) | 11% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Markets | 11% | - Disclosure and Transparency - General background |
| The Regulatory Infrastructure | 17% | - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) |
| Trading | 11% |
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NEW QUESTION # 105
In order to deal in securities, what minimum level of paid-up capital must a firm have?
Answer: B
Explanation:
Dealing in Securities is the first of the five financial-activity licence categories established under the SCA framework covered by the CISI UAE Financial Rules and Regulations. A firm applying for this category must generally be a legal person incorporated within the UAE or a branch of a foreign company and must maintain paid-up capital of not less than AED 30 million . The principal functions expected in a Category 1 firm include the Category Manager or Official, Compliance Officer and Risk Management Officer. Financial activities falling within the category include trading and clearing brokerage, trading brokerage in global markets, brokerage of specified non-exchange-traded derivative contracts and spot currencies, trading brokerage and securities dealing. The AED 50 million figure relates to higher capital requirements associated with other categories, including Dealing in Investment and Keeping, Clearing and Registration. AED 10 million and AED 20 million do not represent the prescribed Category 1 minimum. Therefore, for a firm licensed to deal in securities, the minimum paid-up capital required by the CISI material is AED 30 million and option C is correct.
NEW QUESTION # 106
During a trading session of the DFM, a selling transaction can be executed:
Answer: A
Explanation:
The Dubai Financial Market operates an electronic, order-driven trading system during its continuous trading session. Once the market enters the normal trading phase, buy and sell orders can be entered and matched according to the applicable price and time priority rules. A security can therefore be bought or sold at any time throughout the continuous trading session , subject to market controls such as price limits, suspensions and other applicable trading restrictions. There is no general rule limiting selling transactions to the first 50 or 55 minutes of each hour, nor is selling universally prohibited during the final 15 minutes of the normal trading phase. The CISI material separately distinguishes continuous trading from pre-opening, pre- closing and closing sessions. During pre-closing, orders are accumulated for the closing auction, while during the final closing session firms cannot enter new orders, adjust existing orders or cancel them. The question, however, refers specifically to execution during the DFM trading session. Accordingly, option A correctly reflects continuous trading principles.
NEW QUESTION # 107
Where an existing public company wants to issue further shares via a rights issue, this must be announced at least what minimum period before the start date of the subscription?
Answer: B
Explanation:
The UAE rules governing capital increases by public joint-stock companies establish specific disclosure requirements for rights offerings. According to the CISI UAE Financial Rules and Regulations material, a rights issue must be announced at least 20 business days before the subscription period begins. The advance notice gives existing shareholders sufficient time to assess the proposed capital increase and determine whether to exercise, sell or otherwise deal with their subscription rights. The announcement is expected to provide material details such as the amount and percentage of the capital increase, the exercise price of the rights, the opening and closing dates for trading the rights, and the opening and closing dates for subscribing to the new shares. The rights themselves are traded separately from the existing shares for the prescribed trading period. The alternatives of 28 or 56 calendar days and 40 business days do not represent the minimum announcement period specified in the CISI material. Therefore, the required minimum advance announcement period is 20 business days, making option A correct.
NEW QUESTION # 108
What is the minimum fine that can be levied on someone who commits a money laundering crime through an organised crime group?
Answer: A
Explanation:
For this CISI syllabus question, the governing provision is Federal Decree-Law No. 20 of 2018 as amended and incorporated into the UAE Financial Rules and Regulations material. The law applies an aggravated penalty where money laundering is committed in specified circumstances, including where the perpetrator abuses professional influence or authority, commits the offence through a non-profit organisation, commits it through an organised crime group , or is a repeat offender. In these aggravated circumstances, the prescribed financial penalty is not less than AED 300,000 and not more than AED 10 million , together with temporary imprisonment. The question asks only for the minimum monetary fine. AED 200,000 and AED
400,000 do not correspond to the statutory threshold, while AED 500,000 relates to other penalty provisions and should not be confused with the minimum for this aggravated natural-person money-laundering offence.
Accordingly, under the Federal Law No. 20 of 2018 framework specifically tested by the CISI syllabus, option B-AED 300,000-is correct.
NEW QUESTION # 109
A financial services firm was able to treat client assets as its own without breaching the custody rules. This was because the firm:
Answer: C
Explanation:
The fundamental principle underlying custody and client-asset rules is that financial instruments belonging to clients must be safeguarded and kept separate from assets belonging to the financial services firm. A firm is ordinarily prohibited from using client assets for its own account or for another client's benefit. A limited exception applies where the client has given express prior consent to the particular use of the assets and that use remains restricted to the terms to which the client agreed. This requirement protects the client's ownership rights while allowing specific authorised arrangements where the client has made an informed decision.
Merely operating an execution-only service does not give a firm ownership or unrestricted use of client assets.
Neither satisfying insolvency criteria nor relying on a bank guarantee substitutes for the client's consent. The crucial regulatory factor is therefore the client's express authorisation before the assets are used for the firm's own account. Of the alternatives supplied, only option D represents the recognised consent-based exception to the general prohibition on a firm using client assets as its own. Therefore, D is correct.
NEW QUESTION # 110
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