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| Section | Weight | Objectives |
|---|---|---|
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
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NEW QUESTION # 51
The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations require that the whistleblowing policy submitted by licence applicants incorporates a clear mechanism for protecting the reporting employee. This protection includes confidentiality safeguards, protection against retaliation, and secure channels for raising concerns. Ensuring the safety and anonymity of whistleblowers is fundamental to encouraging the reporting of unethical or illegal conduct, thereby enhancing regulatory compliance and corporate governance. Other aspects such as escalation procedures and disciplinary measures are important but secondary; the central pillar of effective whistleblowing policy is the protection of the individual who reports wrongdoing.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Whistleblowing, Section 3.4.2 (2023).
NEW QUESTION # 52
The written agreement between a crypto asset custodian and the holders of these assets must set out the procedures that will be adopted to identify and prevent:
Answer: C
Explanation:
Crypto asset custodians are subject to detailed controls designed to safeguard client assets and prevent operational errors or unauthorised transactions. The CISI UAE Financial Rules and Regulations expressly requires a custodian to adopt procedures that identify and prevent the execution of multiple instructions in respect of the same transaction approved by a client . The custodian must enter into a signed written agreement with every holder whose crypto assets it safeguards, with that agreement specifying the custodian's relevant duties and obligations. Other safeguards include segregating client assets from the custodian's property, keeping accurate ownership records, controlling cryptographic keys, maintaining transaction logs and ensuring that no single individual can completely authorise actions over client crypto assets. The rules do not prohibit employees from having any access to cryptographic keys; rather, they prevent unilateral complete control by one person. Nor is this provision designed to bar non-qualified investors from ownership. The particular procedure identified in the question is prevention of duplicate execution instructions for the same transaction. Consequently, option B is correct.
NEW QUESTION # 53
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: C
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 # 54
The regulations regarding Key Investor Information Documents for self-managed funds will be breached if the document includes:
Answer: C
Explanation:
For a local investment fund, the fund manager-or the founders where the fund is self-managed-must prepare both the full offering document and an offering-document information summary, commonly described as the Key Investor Information Document (KIID). The CISI UAE Financial Rules and Regulations specifically requires that these documents must not contain promises, guarantees, incorrect information or misleading information. The restriction is fundamental to investor protection because investors must assess a fund on the basis of its disclosed objectives, investment policy, risks and factual characteristics rather than assurances of outcomes that cannot legitimately be guaranteed. Evaluation information is not inherently prohibited; indeed, where in-kind shares are involved, the prospectus contains information relating to their evaluation and a summary of the evaluation report. Similarly, disposal information concerning in-kind assets can form part of required fund disclosures. Complaints information is also not the prohibited element identified by this rule. A reference amounting to a promise or guarantee would therefore breach the prescribed requirements for the offering documents. Consequently, option A is correct.
NEW QUESTION # 55
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations sets out specific operational responsibilities for the Depository Centre following approval of a security's listing. Within one week from approval of the listing, the Depository Centre must install a terminal device for the registrar of the listed entity. The terminal enables the registrar to access the register, make necessary inquiries and perform required updates. Related rules also require the issuer, within one week of listing approval, to provide the Depository Centre with an up-to-date copy of its shareholder register and subsequently update it whenever necessary. These arrangements ensure that ownership information maintained by the Depository Centre remains accurate and current. This is particularly important because Depository Centre records provide legal evidence of securities ownership and support rights such as voting, dividends and bonus-share entitlements. The prescribed period is therefore one week, not three days, 15 days or three weeks. Accordingly, the maximum period specified in the CISI material for installation of the terminal device is one week, making option B correct.
NEW QUESTION # 56
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