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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 10% | |
| Topic 2: Dubai Financial Market (DFM) | 11% | |
| Topic 3: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 4: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - SCA Resolutions - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) |
| Topic 5: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 6: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 7: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 8: Trading | 11% |
>> UAE-Financial-Rules-and-Regulations Testking <<
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122. Frage
What additional provision is made by the market in relation to trading in shares of public joint-stock companies that are in the second category of listing?
Antwort: C
Begründung:
The CISI UAE Financial Rules and Regulations explains that public joint-stock companies transferred to the second category of listing are subject to a distinct market-display mechanism. Companies may enter the second category where, for example, their shares have been suspended for six months or more or they satisfy prescribed accumulated-loss criteria. To distinguish these securities clearly from first-category companies and provide investors with additional transparency regarding their status, the market displays companies in the second category on a separate dedicated screen . Companies on the relevant watch list are also monitored for compliance with listing and disclosure requirements and must take measures to regularise their position.
The second-category regime does not restrict trading solely to qualified investors, impose a special transaction levy merely because of classification, or confine trading to particular specified calendar dates. The additional provision specifically tested is the separate screen through which second-category securities are identified and traded. Therefore, option A is correct.
123. Frage
What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?
Antwort: B
Begründung:
The Clearing, Settlement and Depository Department (CSD Department) at the Abu Dhabi Securities Exchange maintains electronic records relating to ownership and transfer of listed securities. An issuer wishing to list its securities must provide the ADX with its shareholders' register, including shareholder details, balances and relevant ownership restrictions. The issuer remains responsible for ensuring that the information supplied is complete, valid and accurate. After the shareholders' register has been uploaded onto the ADX's electronic systems, the CISI UAE Financial Rules and Regulations specifically states that the CSD Department sends a copy of the electronic register to the issuer for reconciliation purposes .
Reconciliation enables the issuer to compare the electronic CSD record with its own information and identify inconsistencies before they affect ownership records or corporate actions. The procedure does not require issuing registration slips to every shareholder, notifying the Authority simply that uploading has occurred, or immediately storing an off-site disaster-recovery copy as the next prescribed step. Therefore, option C is correct.
124. Frage
During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?
Antwort: C
Begründung:
If a licensed body discovers that any submitted documents or information are incorrect, misleading, or have been changed during an investigation, it is required to notify the concerned entity at the Authority or any of the capital market institutions immediately. According to the CISI UAE Financial Rules and Regulations, this immediate disclosure is critical for maintaining market integrity and ensuring that the Authority and other relevant bodies can take appropriate actions to address any issues of non-compliance or fraud. The prompt notification prevents further misrepresentation and safeguards the transparency of the financial markets.
Reference: CISI UAE Financial Rules and Regulations - Investigation and Disclosure Requirements, Section 5.6.2 (2023).
125. Frage
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Antwort: C
Begründung:
A Special Purpose Acquisition Company (SPAC) is required to safeguard the overwhelming majority of the money raised through its public subscription. The CISI study material specifies that not less than 90% of public subscription proceeds, or any higher percentage prescribed by the Authority, must be deposited within two business days into an escrow or other suitable segregated account. Money in that account is restricted to defined purposes. These include financing the business combination, meeting recovery requests submitted by investors, returning public subscription proceeds following a failure event, and paying fees associated with maintaining the account or those permitted purposes. The escrow proceeds are therefore not a general pool of working capital available for restructuring, market hedging or issuing additional shares. In the scenario, depositing 95% meets the minimum 90% segregation requirement, but the permitted uses remain restricted.
Among the listed alternatives, meeting recovery requests from investors is expressly authorised by the CISI SPAC rules. Consequently, option A is the correct answer.
126. Frage
The minimum paid-up capital requirement for credit rating agencies is:
Antwort: B
Begründung:
Under the licensing framework covered by the CISI UAE Financial Rules and Regulations, credit rating agencies fall within the fourth licence category . The minimum paid-up capital requirement for this category is AED 5 million . This is considerably lower than the capital requirements applying to several other categories because the prudential risks associated with credit-rating activity differ from those created by securities dealing, investment management, custody or clearing. The CISI material's licence-category summary specifies AED 30 million for dealing in securities, AED 50 million for dealing in investment, AED
50 million for custody, clearing and recording, AED 5 million for credit rating agencies, and no minimum capital requirement for the fifth category of arrangement and advice in the version covered by the study material. Consequently, AED 10 million, AED 30 million and AED 50 million do not represent the capital requirement applicable specifically to credit rating agencies. The CISI multiple-choice answer section independently confirms AED 5 million for Category 4. Therefore, option A is correct.
127. Frage
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