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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Dubai Financial Market (DFM) | 11% | |
| Topic 2: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 3: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Topic 4: The Regulatory Infrastructure | 17% | - Accounting system controls (Decision No. 13/Chairman issued 2021) - 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 |
| Topic 5: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 6: Client Protection | 10% | |
| Topic 7: Trading | 11% | |
| Topic 8: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
>> Accurate UAE-Financial-Rules-and-Regulations Answers <<
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NEW QUESTION # 54
The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:
Answer: D
Explanation:
According to CISI UAE Financial Rules and Regulations, the Securities and Commodities Authority (SCA) grants licences to operate crypto fundraising platforms only to legal persons that are exchanges licensed by the Authority within the UAE. This ensures that the entity has the appropriate regulatory oversight, infrastructure, and governance aligned with UAE financial laws. Sophisticated traders or qualified investors, as well as companies incorporated under Shariah law, do not meet the legal entity criteria for such licencing.
The requirement guarantees that fundraising platforms operate within a controlled and transparent environment, protecting investors and maintaining market integrity.
Reference: CISI UAE Financial Rules and Regulations - Crypto Asset Platforms Licensing, Section 7.1.5 (2023).
NEW QUESTION # 55
The contract size for an MSCI India Index Futures (INR) contract is:
Answer: C
Explanation:
The contract size for the MSCI India Index Futures (INR) contract is defined as 50 index points x price. This means that each contract is linked to the movement of 50 index points, and the value of each index point is multiplied by the price of the index. The contract size reflects the amount of exposure an investor takes on when trading in this futures contract, and the multiplier is set to provide a manageable level of risk and exposure to market fluctuations. This standardization allows traders to gauge the value of their positions and facilitates liquidity in the futures market.
Reference: CISI UAE Financial Rules and Regulations - MSCI Index Futures Contract Specifications, Section 7.2.1 (2023).
NEW QUESTION # 56
What are brokerage firms able to do during the closing session?
Answer: A
Explanation:
The Dubai Financial Market distinguishes clearly between the pre-closing session and the final closing session. During the pre-closing session , orders are accumulated without immediate execution. Brokerage firms may enter new orders at determined prices and may adjust or cancel existing orders. At the end of that phase, eligible orders are matched using the theoretical auction price. The closing session is different.
According to the CISI UAE Financial Rules and Regulations, during the closing session data and information are displayed, enquiries may be made , and necessary reports can be printed. Brokerage firms may not adjust orders, cancel orders or enter new orders at this stage. This restriction preserves the finality of the closing auction and prevents additional order activity after the market has reached its closing state. Options A, B and D therefore describe activities that are specifically prohibited during the closing session. Of the choices provided, only making enquiries remains permitted. Consequently, option C is the verified answer.
NEW QUESTION # 57
Why would a transaction in securities listed on the market be declared null and void?
Answer: D
Explanation:
The Central Depository performs a fundamental legal and operational function by maintaining the official register of transactions in securities listed on UAE markets. Under the CISI UAE Financial Rules and Regulations, the Depository Centre must keep a register of all transactions involving securities listed on the market. The rule expressly states that any transaction in listed securities that is not registered is deemed null and void . Registration provides the official record needed to establish securities ownership, complete settlement, maintain investor accounts and support rights arising from ownership. A transaction that bypasses this prescribed recording process therefore lacks the regulatory recognition required for a valid market transaction. The other answer choices concern different regulatory obligations or potential misconduct but do not constitute the specific statutory ground for treating the securities transaction itself as null and void. A board member's misconduct, reporting failures or deficiencies in daily monitoring may lead to separate enforcement or governance consequences. The direct trigger tested here is failure to record the transaction according to applicable regulatory provisions. Therefore, option A is correct.
NEW QUESTION # 58
The minimum paid-up capital requirement for credit rating agencies is:
Answer: C
Explanation:
Under the licensing framework covered by the CISI UAE Financial Rules and Regulations, credit rating agencies fall within the fourth licence category . The minimum paid-up capital requirement for this category is AED 5 million . This is considerably lower than the capital requirements applying to several other categories because the prudential risks associated with credit-rating activity differ from those created by securities dealing, investment management, custody or clearing. The CISI material's licence-category summary specifies AED 30 million for dealing in securities, AED 50 million for dealing in investment, AED
50 million for custody, clearing and recording, AED 5 million for credit rating agencies, and no minimum capital requirement for the fifth category of arrangement and advice in the version covered by the study material. Consequently, AED 10 million, AED 30 million and AED 50 million do not represent the capital requirement applicable specifically to credit rating agencies. The CISI multiple-choice answer section independently confirms AED 5 million for Category 4. Therefore, option A is correct.
NEW QUESTION # 59
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