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| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) |
| Markets | 11% | - Disclosure and Transparency - General background |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Dubai Financial Market (DFM) | 11% | |
| Client Protection | 10% | |
| Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| 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 # 27
When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:
Answer: B
Explanation:
Evaluators of in-kind shares for investment funds must adhere to key ethical principles including honesty, justice, and confidentiality when collecting data from official authorities. Confidentiality ensures sensitive information obtained during valuation processes is protected against unauthorized disclosure, preserving trust and compliance with legal requirements. This principle complements honesty and justice by maintaining the integrity of the evaluation process and protecting the interests of the fund and its investors. Governance, equality, and prudence are important but not the specifically mandated principles in this context.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Valuation and Ethical Standards, Section 6.2.9 (2023).
NEW QUESTION # 28
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 # 29
How long must licence applicants keep back-up copies of records?
Answer: D
Explanation:
Licence applicants must establish comprehensive record-keeping procedures covering electronic and non- electronic records relating to the licensed body, technical guides and regulations, regulated activities, client transactions and data, account-opening agreements and other information connected with conducting financial activities. The CISI UAE Financial Rules and Regulations requires the mechanisms to permit retrieval of archived records within no more than three business days. More importantly for this question, the procedures must ensure that records are maintained securely for not less than ten years , with back-up copies retained for the same ten-year period and protected against damage or loss. This is distinct from the five-year retention period imposed by AML legislation for certain transaction and customer due-diligence records. The question concerns the broader record-keeping obligations of applicants for a financial-activities licence, where the ten-year requirement applies. Retention is therefore neither dependent on how long an individual client wishes records to remain available nor simply tied to the firm's entire corporate existence. The minimum specified period is ten years, making option D correct.
NEW QUESTION # 30
Customer due diligence measures require management approval if the natural person involved is:
Answer: D
Explanation:
Federal Law No. 20 of 2018 and related CISI UAE Financial Rules specify that enhanced customer due diligence procedures require management approval when the client is a politically exposed person (PEP).
PEPs present higher risks due to their potential access to public funds and influence, increasing vulnerability to corruption or money laundering. Management approval ensures senior oversight in onboarding and monitoring PEP clients, aligning with international AML/CTF best practices. Other conditions such as residency or age do not mandate this elevated level of scrutiny. This regulatory requirement enhances governance and mitigates reputational and compliance risks associated with politically exposed persons.
Reference: CISI UAE Financial Rules and Regulations - AML Regulations, Enhanced Due Diligence, Section 8.1.7 (2023).
NEW QUESTION # 31
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
Answer: D
Explanation:
CISI UAE Financial Rules and Regulations specify that when a local investment fund is established by an entity licensed for family investment management, at least 90% of the fund units must be owned by family members. This high ownership threshold ensures that the fund serves its intended purpose as a family investment vehicle, restricting external investor participation. The rule protects the fund's family-oriented investment strategy, governance, and compliance with related regulatory provisions. It also aligns with the regulatory framework promoting transparency and proper segmentation of family investment funds in the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Family Investment Management Funds, Ownership Requirements, Section 6.6.5 (2023).
NEW QUESTION # 32
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