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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Dubai Financial Market (DFM)	11%
Topic 2: Licensed Bodies	14%	- General provisions - Requirements of capital market institutions - Licensing financial activities
Topic 3: Trading	11%
Topic 4: Investment Funds	11%	- Provisions specific to certain public funds - The local fund
Topic 5: Client Protection	10%
Topic 6: The Regulatory Infrastructure	17%	- License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - Codes of Conduct - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions
Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations	14%	- Federal Law No. 20 of 2018
Topic 8: Markets	11%	- General background - Disclosure and Transparency

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q64-Q69):

NEW QUESTION # 64
In order to deal in securities, what minimum level of paid-up capital must a firm have?

A. AED 20 million
B. AED 50 million
C. AED 30 million
D. AED 10 million

Answer: C

Explanation:
Dealing in Securities is the first of the five financial-activity licence categories established under the SCA framework covered by the CISI UAE Financial Rules and Regulations. A firm applying for this category must generally be a legal person incorporated within the UAE or a branch of a foreign company and must maintain paid-up capital of not less than AED 30 million . The principal functions expected in a Category 1 firm include the Category Manager or Official, Compliance Officer and Risk Management Officer. Financial activities falling within the category include trading and clearing brokerage, trading brokerage in global markets, brokerage of specified non-exchange-traded derivative contracts and spot currencies, trading brokerage and securities dealing. The AED 50 million figure relates to higher capital requirements associated with other categories, including Dealing in Investment and Keeping, Clearing and Registration. AED 10 million and AED 20 million do not represent the prescribed Category 1 minimum. Therefore, for a firm licensed to deal in securities, the minimum paid-up capital required by the CISI material is AED 30 million and option C is correct.

NEW QUESTION # 65
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:

A. nature of the entity, its legal form, type and capital
B. profession, exact address, PO Box and phone number
C. full name of portfolio manager
D. commercial register number and commercial licence

Answer: B

Explanation:
The Dubai Financial Market (DFM) Professional Code of Conduct mandates that brokerage firms perform thorough customer due diligence to confirm client identities. For natural persons, this includes obtaining detailed personal information such as profession, exact residential address, PO Box, and phone number. This comprehensive identification requirement supports anti-money laundering (AML) and know-your-customer (KYC) policies by enabling firms to verify clients accurately and assess their risk profiles effectively.
Commercial registration details and legal entity information apply to corporate clients, not individuals.
Collecting detailed contact and occupational data also facilitates ongoing monitoring and communication, fulfilling regulatory obligations to maintain transparent client records.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and DFM Professional Code of Conduct, Section 4.1.3 (2023).

NEW QUESTION # 66
If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?

A. It is quadrupled
B. It is increased by 50%
C. It is doubled
D. It is tripled

Answer: C

Explanation:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, if a person convicted of a money laundering offence is a repeat offender, the minimum fine imposed is doubled compared to the first offence. This increased penalty reflects the heightened regulatory and punitive response to repeated non- compliance, emphasizing deterrence and the protection of the financial system. Repeat offenders face more severe consequences to underscore the seriousness of continued illegal activity and to promote adherence to AML laws.
Reference: CISI UAE Financial Rules and Regulations - AML Penalties and Repeat Offences, Section 8.4.6 (2023).

NEW QUESTION # 67
The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A. Payment of a prescribed amount of money
B. Referral to the Central Bank
C. Negotiated out-of-court settlement
D. Suspension of activities for a specified period

Answer: C

Explanation:
The CISI UAE Financial Rules and Regulations provide for a conciliation process whereby the Authority may impose a negotiated out-of-court settlement as an alternative to criminal prosecution. This mechanism allows for the resolution of regulatory breaches through mutual agreement, often involving remedial actions and financial penalties, without lengthy court proceedings. It supports regulatory efficiency and offers a less adversarial path to compliance while maintaining enforcement effectiveness. Suspension or referral are different enforcement actions but not part of the conciliation alternative.
Reference: CISI UAE Financial Rules and Regulations - Enforcement and Conciliation Procedures, Section
2.7.5 (2023).

NEW QUESTION # 68
Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A. A threat to the proper and regular working of that market arises
B. It transpires that the spouse of a board member is a director of that entity
C. It does not have the technical equipment necessary to conduct its activity electronically
D. A written complaint is made relating to a market activity

Answer: A

Explanation:
The Authority board may decide to temporarily halt trading in the shares of a company if a threat to the proper and regular working of that market arises. This action is taken to ensure the integrity of the market and protect investors from any disruption caused by irregularities or unexpected events. Such threats could include issues like system failures, significant market manipulation, or events that might cause unfair trading conditions.
Halting trading is a precautionary measure that aims to stabilize the market, allowing time for the issue to be resolved before trading resumes.
Reference: CISI UAE Financial Rules and Regulations - Trading Halts and Market Integrity, Section 3.4.2 (2023).

NEW QUESTION # 69
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