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| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Legal obligations of market participants - Securities laws and regulations |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
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NEW QUESTION # 17
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
Answer: D
Explanation:
In the case of an in-kind share transfer where two evaluators produce different fair value figures, the average of the two amounts is typically used. This approach helps ensure fairness and reduces the risk of biases from individual evaluations. The CISI UAE Financial Rules and Regulations recommend averaging the values to arrive at a reasonable and balanced assessment, especially when the evaluators may have different methods or opinions regarding the valuation of assets. This method is widely accepted as it prevents any single evaluator's assessment from disproportionately influencing the final valuation.
Reference: CISI UAE Financial Rules and Regulations - In-kind Share Transfer Valuation, Section 8.4.2 (2023).
NEW QUESTION # 18
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations require that firms offering investment management services deliver periodic statements to retail clients at least every 6 months under normal circumstances. This frequency strikes a balance between providing clients with timely updates on their investments and operational practicality for firms. The statements include performance, transaction details, fees, and holdings, enabling retail clients to monitor their portfolios and make informed decisions. More frequent reporting may be required in special situations, but semi-annual reporting is the standard minimum.
Reference: CISI UAE Financial Rules and Regulations - Client Reporting Requirements, Section 4.5.3 (2023).
NEW QUESTION # 19
What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
Answer: D
Explanation:
Remote access to the Abu Dhabi Securities Exchange is available only to foreign brokerage companies that meet the ADX's prescribed eligibility conditions. Among those conditions, the foreign brokerage firm must be properly licensed for financial brokerage in its home jurisdiction by a regulator comparable to the SCA, and that regulator must operate appropriate KYC, customer due diligence and AML/CFT standards. The rules also state expressly that the firm's licence must not previously have been refused by any regulatory authority similar to the Authority . A prior refusal therefore means that an essential eligibility condition for remote access is not satisfied. It is not a matter that can be cured merely by supplying additional collateral or accepting restricted trading privileges. The rule is framed as an entry condition, not simply a discretionary risk factor to be considered by the ADX board. Consequently, a foreign brokerage company with such a previous licensing refusal does not qualify for remote access approval under the stated conditions. Among the options supplied, this makes automatic rejection the correct outcome. Therefore, option D is correct.
NEW QUESTION # 20
What are brokerage firms able to do during the closing session?
Answer: C
Explanation:
The Dubai Financial Market distinguishes clearly between the pre-closing session and the final closing session. During the pre-closing session , orders are accumulated without immediate execution. Brokerage firms may enter new orders at determined prices and may adjust or cancel existing orders. At the end of that phase, eligible orders are matched using the theoretical auction price. The closing session is different.
According to the CISI UAE Financial Rules and Regulations, during the closing session data and information are displayed, enquiries may be made , and necessary reports can be printed. Brokerage firms may not adjust orders, cancel orders or enter new orders at this stage. This restriction preserves the finality of the closing auction and prevents additional order activity after the market has reached its closing state. Options A, B and D therefore describe activities that are specifically prohibited during the closing session. Of the choices provided, only making enquiries remains permitted. Consequently, option C is the verified answer.
NEW QUESTION # 21
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?
Answer: B
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 # 22
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