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| Section | Weight | Objectives |
|---|---|---|
| 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 |
| Dubai Financial Market (DFM) | 11% | |
| Markets | 11% | - General background - Disclosure and Transparency |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Client Protection | 10% | |
| The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Trading | 11% |
>> UAE-Financial-Rules-and-Regulations Fragenpool <<
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115. Frage
A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?
Antwort: D
Begründung:
The CISI UAE Financial Rules and Regulations specify that public real estate investment funds are mandated to distribute a minimum of 80% of their achieved net profits annually to unit holders. This distribution requirement ensures that investors receive regular income from the fund's operations, promoting investor confidence and fairness. It also aligns with the principle of pass-through taxation and transparency in fund performance. The regulation balances income distribution with fund sustainability, allowing the retention of a portion of profits for operational needs and growth.
Reference: CISI UAE Financial Rules and Regulations - Real Estate Investment Funds, Profit Distribution Requirements, Section 6.7.2 (2023).
116. Frage
What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
Antwort: C
Begründung:
Remote access to the Abu Dhabi Securities Exchange is available only to foreign brokerage companies that meet the ADX's prescribed eligibility conditions. Among those conditions, the foreign brokerage firm must be properly licensed for financial brokerage in its home jurisdiction by a regulator comparable to the SCA, and that regulator must operate appropriate KYC, customer due diligence and AML/CFT standards. The rules also state expressly that the firm's licence must not previously have been refused by any regulatory authority similar to the Authority . A prior refusal therefore means that an essential eligibility condition for remote access is not satisfied. It is not a matter that can be cured merely by supplying additional collateral or accepting restricted trading privileges. The rule is framed as an entry condition, not simply a discretionary risk factor to be considered by the ADX board. Consequently, a foreign brokerage company with such a previous licensing refusal does not qualify for remote access approval under the stated conditions. Among the options supplied, this makes automatic rejection the correct outcome. Therefore, option D is correct.
117. Frage
An Insiders Register should be prepared for securities issued by:
Antwort: D
Begründung:
The Corporate Governance provisions covered by the CISI UAE Financial Rules and Regulations require listed companies to establish controls over transactions undertaken by Board members, employees and other persons who may possess unpublished inside information. The company's Board must issue written rules governing transactions by these insiders in securities issued by the company itself, its parent company, subsidiaries and related companies . A special and comprehensive Insiders Register must then be maintained, including permanent and temporary insiders who have access to internal information before publication. The organisation responsible for the register must monitor insiders' transactions, maintain their disclosures, provide updated insider lists to the SCA and market, and submit the register to the Authority when requested. Limiting the regime to securities issued solely by the company would leave material connected-company dealings outside the monitoring framework. Similarly, options B and C improperly omit either subsidiaries or related companies. The CISI text expressly covers all four categories, making option D the complete and correct answer.
118. Frage
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?
Antwort: B
Begründung:
Under the Federal Decree-Law No. 20 of 2018 framework covered by the CISI UAE Financial Rules and Regulations syllabus, using proceeds for the financing of terrorism attracts one of the most severe criminal sanctions in the AML/CFT regime. Article 22 provides for life imprisonment or temporary imprisonment for a period of no less than ten years , together with a fine of not less than AED 300,000 and not more than AED 10 million . Option A reproduces both elements correctly. Option B improperly removes life imprisonment as an available sanction. Option C incorrectly raises the minimum financial penalty to AED
500,000 and treats life imprisonment as mandatory. Option D gives an incorrect maximum fine of AED 1 million. This provision should also be distinguished from ordinary money laundering and aggravated money- laundering offences, which have separate sentencing structures. For purposes of the CISI syllabus section expressly based on Federal Law No. 20 of 2018, the complete penalty described in option A is therefore correct.
119. Frage
When an application is made to list a crypto asset on a crypto asset exchange, the documentation provided to the Authority must include details of:
Antwort: D
Begründung:
A crypto asset exchange seeking to list a crypto asset must provide the Authority with sufficient information to assess both the asset and the technology supporting it. Under the CISI UAE Financial Rules and Regulations, the listing application must include the initial and continuing criteria used to select the crypto asset for listing and trading, details of the relevant distributed ledger technology or protocol, fees or other compensation associated with the listing, and any hacking vulnerabilities affecting the technology underlying the crypto asset. The documentation must also address traceability of the crypto asset and the capability to apply controls designed to combat money laundering and terrorism financing. Disclosure of hacking vulnerabilities is particularly important because weaknesses in the underlying distributed-ledger technology can expose investors, custodians and markets to theft, unauthorised transfers and operational disruption. The specific listing requirements do not identify a software confidentiality agreement, historical losses of the applicant, or disaster-recovery methodology as the required item tested by this question. Therefore, option C directly reflects the CISI requirement.
120. Frage
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