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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Topic 2: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Topic 3: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Topic 4: Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Topic 5: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Topic 6: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Topic 7: Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
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NEW QUESTION # 76
Brokers have a number of obligations in relation to client orders, including:
Answer: B
Explanation:
The CISI rules governing client orders require brokers to manage conflicts of interest and ensure fair treatment of clients. If a broker has an interest in a transaction being executed for a client, or another connection to the transaction that could create a conflict, the broker must take appropriate steps to protect the client, including disclosing its interest. The client must then be given the opportunity to refuse the transaction.
Option B therefore most accurately describes a direct obligation placed on the broker. Option A is incorrect because a broker must generally ensure that a client owns securities before a sell order is entered unless the transaction qualifies under the applicable short-selling regulations. Option C is also incorrectly framed: where an order breaches law or regulation, it is the ADX that has the right to order the broker to resell or repurchase securities to restore the previous position. For buy orders, clients normally must pay before execution unless specified exceptions apply. Accordingly, the correct answer is B.
NEW QUESTION # 77
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?
Answer: A
Explanation:
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.
NEW QUESTION # 78
The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?
Answer: C
Explanation:
For Silver Futures contracts on the Dubai Gold & Commodities Exchange (DGEX), the contract size is 1,000 troy ounces of refined silver, with a prescribed margin of 5%. The margin requirement ensures that traders have sufficient collateral to cover potential price fluctuations in the market. The 5% margin provides a balance between allowing for liquidity in the market and managing the risks associated with futures trading.
This is a standard margin level designed to protect both market participants and the exchange from extreme volatility or defaults.
Reference: CISI UAE Financial Rules and Regulations - Silver Futures Trading on DGEX, Section 7.1.3 (2023).
NEW QUESTION # 79
What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations includes detailed contract specifications for the principal commodity futures products traded on the Dubai Gold & Commodities Exchange (DGCX). For the Dubai India Quanto Crude Oil Futures contract, the standard contract size is three barrels . The same specification provides a minimum price movement of US$1 and defines the last trading day as four business days before the 25th calendar day of the month preceding the delivery month. The product should not be confused with other crude-oil futures contracts covered in the syllabus. For example, the DGCX Mini West Texas Intermediate crude-oil contract uses a contract size of 100 barrels, which explains why option C is a plausible distractor. Different oil products employ different contract multipliers, settlement calculations and delivery-month structures. The Dubai India Quanto structure is specifically designed to provide India-related crude-oil price exposure while incorporating the relevant currency conversion mechanism. Since the CISI contract specification expressly states three barrels, option A is correct.
NEW QUESTION # 80
In a ranking and advice firm, which approved job role would undertake the activities of a listing consultant?
Answer: D
Explanation:
Ranking and Advice constitutes the fifth category of financial-activity licensing under the CISI UAE Financial Rules and Regulations. Within this category, the principal functions expected at firm level include a Category Manager or Official, Compliance Officer and Risk Management Officer. The rules then separately identify each regulated financial activity and the approved professional job associated with that activity. For Financial Consulting , Financial Consultant (Issue Manager) and Listing Consultant , the approved job is Financial Analyst . Promotion, by contrast, is associated with a Promotion Manager. A Trading and Clearing Broker and Broker Representative belong to securities brokerage and dealing functions rather than the Ranking and Advice category. Although a Compliance Officer is a principal control function within a Category 5 firm, that officer does not perform the regulated Listing Consultant activity simply by virtue of holding the compliance role. The CISI table explicitly maps Listing Consultant to Financial Analyst.
Consequently, option D is the only answer consistent with the approved-jobs framework.
NEW QUESTION # 81
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