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| Section | Weight | Objectives |
|---|---|---|
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
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질문 # 53
Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?
정답：A
설명：
A Special Purpose Acquisition Company (SPAC) must complete a prescribed sequence of regulatory and market procedures when conducting its public offering. After the required subscription and registration procedures have been completed and the applicable registration fee has been paid, the Authority issues the SPAC's registration certificate. The CISI UAE Financial Rules and Regulations then imposes a short deadline for the next stage. Within three business days from the date of the registration certificate , the SPAC must submit its request to the relevant market to list the shares and warrants it has issued in accordance with the applicable listing requirements. After listing, the SPAC becomes subject immediately to the Authority's corporate governance requirements applicable to listed public joint-stock companies. This three-business-day requirement should not be confused with other SPAC deadlines, such as the period for depositing the prospectus before subscription, publication of the subscription invitation, or the permitted duration of the subscription period itself. Since the question specifically concerns the post-registration listing request, the correct answer is three business days, option C.
질문 # 54
An application for conciliation has been submitted to the Authority. Within what maximum time following receipt must a decision be made?
정답：D
설명：
Conciliation provides a mechanism through which the Authority can suspend procedures for initiating a criminal prosecution for certain specified offences and instead resolve the matter through the prescribed conciliation procedure. The process begins when the violator submits a completed application to the Authority before the criminal case has been referred to court. The application must use the prescribed form and contain the required information and supporting documents. A committee established within the Authority then considers the application and reaches its decision by majority. Under the CISI UAE Financial Rules and Regulations, the committee must consider and decide upon the completed conciliation application within 15 working days from the date it is received. During this period, procedures for initiating the criminal case are suspended until the committee reaches its decision. The committee may approve or reject the request according to the public interest. The prescribed period is therefore neither ten working days nor one or two months. Consequently, option B accurately states the maximum decision period.
질문 # 55
Financial institutions must retain all records, documents, data and statistics for all financial transactions and local or international commercial and cash transactions for a period of no less than:
정답：B
설명：
The UAE AML/CFT record-keeping requirements require financial institutions and designated non-financial businesses and professions to preserve relevant records for no less than five years. The prescribed period runs from the date on which the transaction is completed or, where an ongoing customer relationship exists, from termination of that business relationship. Records covered by the requirement include financial and commercial transaction records, customer due diligence information, ongoing-monitoring documentation, account files, business correspondence, identification documents, suspicious transaction reports and the results of relevant analysis. The records must also be organised so that financial transactions can be reconstructed, analysed and tracked, and they must be made available promptly to competent authorities when requested. Options A and B incorrectly apply different retention periods depending upon transactions and customer relationships, while option D incorrectly increases the statutory minimum to ten years. The CISI manual expressly identifies the minimum as five years following completion of the transaction or termination of the customer relationship. Therefore, option C is correct.
질문 # 56
During a trading session, if an order is not fully executed, then:
정답：D
설명：
In the Dubai Financial Market (DFM) and other UAE exchanges, if an order is not fully executed during a trading session, the remaining unexecuted volume remains on the trading system at the last executed price, subject to the order's validity instructions (e.g., good-till-cancelled). This approach allows the unfilled portion to remain active in the market for potential matching with future opposing orders, supporting liquidity and order continuity. Orders are not automatically cancelled or deferred to the next session unless specified. This process ensures transparency and orderly execution consistent with regulatory trading rules.
Reference: CISI UAE Financial Rules and Regulations - Trading Order Execution Rules, Section 7.2.8 (2023).
질문 # 57
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:
정답：A
설명：
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).
질문 # 58
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