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| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 10% | |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Dubai Financial Market (DFM) | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Markets | 11% | - General background - Disclosure and Transparency |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Codes of Conduct - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 |
| Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Trading | 11% |
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NEW QUESTION # 29
The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
Answer: A
Explanation:
The Dubai Gold & Commodities Exchange (DGCX) contract specification for West Texas Intermediate (WTI) Light Sweet Crude Oil Futures establishes a clearly defined expiry timetable. The last trading day is four business days prior to the 25th calendar day of the month preceding the expiry or delivery month .
For example, if the futures contract relates to March, its last trading day falls on the fourth business day before 25 February. This convention allows sufficient time between the termination of trading and final cash- settlement procedures. The DGCX specification applies the same last-trading-day structure to its standard WTI contract and the Mini WTI product, although their contract sizes and tick values differ. Option A incorrectly relates expiry to the final business day of the delivery month, while option B has no basis in the WTI specification. Option D resembles expiry conventions associated with other commodity contracts and is not the applicable WTI rule. Consequently, the contract specification confirms that option C is correct.
NEW QUESTION # 30
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
Answer: C
Explanation:
Per CISI UAE Financial Rules and Regulations, the watch list monitored by the Authority's committee consists of all public companies that have declared losses in the last 12 months. These companies are subject to closer regulatory scrutiny to protect investors and maintain market stability. Monitoring focuses on financial health indicators that might signal increased risk, ensuring timely intervention if necessary. Private companies are generally not included in this watch list, which targets publicly traded entities with broader investor impact.
Reference: CISI UAE Financial Rules and Regulations - Market Surveillance and Watch List, Section 5.6.4 (2023).
NEW QUESTION # 31
What happens if a listed company has its shares suspended for six months or more?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations divides listed companies into first- and second-category listings according to prescribed financial and regulatory criteria. To remain in the first category, a company's shares must not have been suspended from trading for six months or more, and its accumulated losses must remain below the prescribed threshold. Where the shares have been suspended for six months or more , the market transfers the company's listing from the first category to the second category . Once transferred, the shares may subsequently resume trading under the special arrangements applicable to second-category companies. Such securities are displayed through a dedicated market screen, together with information identifying their second-category status and relevant investor-risk disclosures. The six-month suspension therefore produces a listing-category consequence rather than merely an automatic fine or unspecified enhanced supervision. Movement into the first category would be the opposite of the prescribed regulatory treatment. Accordingly, the CISI rule directly supports option A.
NEW QUESTION # 32
The market must provide an electronic trading system which ensures:
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations specifies core controls that must be incorporated into a market's electronic trading system. One of the principal controls is the automatic stopping of purchase orders where those orders exceed the limits supported by a broker's bank guarantee or reach the threshold applicable to a special order. Automation is significant because the control must operate at system level and prevent a broker from accepting exposure beyond the financial security available to support its transactions.
The CISI material defines a special order as an order approved in advance by the market for a securities transaction exceeding 80% of the amount of the broker's bank guarantee. The requirement is therefore not merely a facility enabling manual intervention, making option A incorrect. The electronic system must also enable listed entities and their registrars to view their own share registers; it is not designed simply to conceal that information. Multiple-investor trading-account provisions are governed separately. Consequently, option B directly reproduces the required electronic-trading safeguard and is the correct answer.
NEW QUESTION # 33
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
Answer: A
Explanation:
Behaviour regulations submitted by license applicants, such as a professional code of ethics, are classified under governance regulations within the CISI UAE Financial Rules and Regulations framework.
Governance regulations encompass policies, standards, and codes that guide the ethical conduct, integrity, and responsibilities of licensed entities and their employees. They are designed to promote accountability, compliance, and good corporate citizenship within the financial industry. Unlike technical systems, which relate to operational infrastructure, or employee regulations focused on HR and workplace rules, governance regulations provide the overarching ethical and procedural guidelines essential for sustaining market confidence and protecting stakeholders. The inclusion of a professional code of ethics ensures license applicants demonstrate commitment to the principles of fairness, transparency, and fiduciary duty, which are fundamental requirements by the Securities and Commodities Authority (SCA) for licensing approval.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Governance, Section
3.1.4 (2023).
NEW QUESTION # 34
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