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

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

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CISI UAE Financial Rules and Regulations Exam 認定 UAE-Financial-Rules-and-Regulations 試験問題 (Q168-Q173):

質問 # 168
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

A. make the promotion available simultaneously in printed form and online
B. ensure all monetary examples are calculated to at least two decimal places
C. give a balanced impression of both short and long term prospects
D. always assume the communication is intended for a retail client

正解：C

解説：
For a financial promotion that quotes yield figures to comply with the clear, fair, and not misleading rule, it must give a balanced impression of both short and long term prospects. This ensures that the promotion does not mislead the client by focusing too heavily on short-term returns or exaggerating long-term performance. A balanced presentation of both short and long-term outcomes is essential for providing a full, accurate picture of the investment, allowing clients to make informed decisions. This approach aligns with the principles of transparency and fairness that underpin financial regulation.
Reference: CISI UAE Financial Rules and Regulations - Financial Promotions and Yield Quotes, Section
5.2.3 (2023).

質問 # 169
During a trading session of the DFM, a selling transaction can be executed:

A. At any time throughout the session
B. Only during the first 50 minutes of each hour
C. Only during the first 55 minutes of each hour
D. At any time apart from the last 15 minutes of the session

正解：A

解説：
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.

質問 # 170
The offence of tipping off leads to:

A. Imprisonment for life and/or a penalty of no less than AED 100,000 and no more than AED 5,000,000
B. Imprisonment for no less than six months and/or a penalty of no less than AED 100,000 and no more than AED 500,000
C. Imprisonment for no less than six years and/or a penalty of no less than AED 100,000 and no more than AED 500,000
D. Imprisonment for no less than six months and/or a penalty of no less than AED 1,000,000 and no more than AED 5,000,000

正解：B

解説：
Within the CISI UAE Financial Rules and Regulations AML syllabus, tipping off occurs when a person notifies or warns another person about suspicions relating to money laundering or reveals that a transaction is being reviewed or investigated because of such suspicions. Disclosure of this information can undermine an investigation by allowing the subject to conceal assets, destroy evidence, alter transaction patterns or otherwise obstruct enforcement action. The CISI study guide states that the offence of tipping off is punishable by imprisonment for no less than six months and/or a financial penalty of no less than AED
100,000 and no more than AED 500,000. This combination corresponds exactly to option D. The considerably longer imprisonment periods or higher financial penalties appearing in the other alternatives relate neither to the specific CISI tipping-off provision nor to the sanction tested by this question. Staff dealing with suspicious transactions must therefore preserve strict confidentiality concerning reports, investigations and related information while ensuring that suspicions are escalated through the prescribed AML reporting process.
Comparison basis: List A and List B .
next batch

質問 # 171
When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:

A. immediately
B. after 5 working days
C. within a maximum of 72 hours
D. within a maximum of 48 hours

正解：C

解説：
CISI UAE Financial Rules and Regulations stipulate that for debt securities issued via public subscription, the offeror must announce any replacement of the trustee within a maximum of 72 hours. Prompt notification ensures transparency, allowing investors to be informed about key custodial and fiduciary changes that may affect the security's management and enforcement of rights. Delays beyond this period could impact investor confidence and violate continuous disclosure requirements, thus the 72-hour timeframe strikes a balance between operational feasibility and timely communication.
Reference: CISI UAE Financial Rules and Regulations - Debt Securities Public Offers and Trustee Notifications, Section 5.8.6 (2023).

質問 # 172
If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?

A. Place the listing on an at-risk register
B. Levy a fine against the issuer
C. Cancel the listing
D. Demand an immediate recovery plan from the issuer

正解：C

解説：
The UAE rules governing listed debt securities give the Authority power to suspend trading and, in prescribed circumstances, cancel a listing entirely. The CISI UAE Financial Rules and Regulations states that the Authority may cancel the listing of debt securities where a decision has been made to dissolve or wind up the issuer, where the suspension of the listing continues for more than six months, or where the relevant debt securities have been completely redeemed. Once a listing is cancelled or suspended, trading in the affected debt securities is prohibited. The rules also make clear that neither the Authority nor the market is responsible for compensating persons suffering losses as a consequence of the suspension or cancellation. Although regulatory intervention may involve additional disclosures or remedial action in other circumstances, the specific consequence expressly available when a debt-security listing has remained suspended for more than six months is cancellation of that listing. There is no corresponding requirement in this provision for an at-risk register, automatic fine, or immediate recovery plan. Therefore, option D is correct.

質問 # 173
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