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| Section | Weight | Objectives |
|---|---|---|
| Dubai Financial Market (DFM) | 11% | |
| Trading | 11% | |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Markets | 11% | - Disclosure and Transparency - General background |
| The Regulatory Infrastructure | 17% | - Codes of Conduct - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions |
| Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Client Protection | 10% |
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NEW QUESTION # 178
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
Answer: D
Explanation:
According to the CISI UAE Financial Rules and Regulations, the process for establishing a local investment fund, including a public fund, involves obtaining approval from the relevant regulatory authority, which is usually the Securities and Commodities Authority (SCA). For public funds, the authority is required to either grant or reject the application within 20 working days from the submission date. This time frame ensures that there is adequate time for the Authority to review the application, conduct necessary evaluations, and ensure that the fund complies with all regulatory and legal requirements. The 20-working-day period ensures efficiency while allowing for a thorough review.
Reference: CISI UAE Financial Rules and Regulations - Investment Fund Establishment Process, Section
6.2.1 (2023).
NEW QUESTION # 179
Each licence applicant must submit a risk management guide that includes:
Answer: A
Explanation:
In the UAE regulatory framework, every licence applicant is mandated to provide a comprehensive risk management guide. As per CISI UAE Financial Rules and Regulations, this guide must explicitly address the development and implementation of policies and procedures to identify, assess, monitor, and mitigate risks within the licensed entity. This requirement ensures that firms proactively manage financial, operational, and compliance risks, safeguarding market integrity and client interests. While other governance and compliance mechanisms such as compliance officer resources and internal auditor independence are important, the risk management guide specifically focuses on how the firm establishes and enforces risk-related policies and procedures. This foundational element of risk governance demonstrates the applicant's readiness and capability to operate safely within the UAE financial markets.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure, Risk Management Requirements, Section 3.2.7 (2023).
NEW QUESTION # 180
An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?
Answer: D
Explanation:
Under the CISI UAE Financial Rules and Regulations governing Sukuk issuers with retail primary listings, obligors have continuing disclosure obligations designed to ensure transparency and maintain investor confidence. While immediate notification to the Authority is necessary, the obligor must also notify the market to keep all stakeholders informed promptly. Failure to inform the market simultaneously constitutes a breach, as investors rely on timely and complete information to make decisions. This dual-notification requirement is critical to ensure fairness and prevent information asymmetry. The nature of the new director's passport or experience is not the determining factor; rather, it is the procedural omission of market notification that constitutes the breach.
Reference: CISI UAE Financial Rules and Regulations - Continuing Obligations for Sukuk Issuers, Section
5.7.3 (2023).
NEW QUESTION # 181
Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
Answer: B
Explanation:
Where in-kind shares are contributed to a local investment fund, the prospectus must provide comprehensive disclosure so that investors understand the nature and potential valuation risks of those assets. The SCA investment-fund regulations require the prospectus to provide full information about each in-kind share, its owner and value, the number of units issued against it and a summary of the in-kind valuation report. It must additionally explain the extent to which the in-kind shares can subsequently be disposed of and the extent to which their values may vary after the fund has been established according to market circumstances and subsequent valuation reports . Option A therefore accurately captures the required disclosure concerning potential fluctuations in value. There is no requirement in this provision to identify alternative assets that were considered. An evaluation report is not treated as unnecessary; instead, its summary is specifically required.
Nor does this particular prospectus disclosure require the fund to identify specific legislation authorising the contribution. The regulatory focus is transparency over valuation and liquidity risks. Therefore, option A is correct.
NEW QUESTION # 182
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:
Answer: B
Explanation:
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).
NEW QUESTION # 183
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