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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 2: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 3: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 4: Client Protection | 10% | |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: Trading | 11% | |
| Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 8: The Regulatory Infrastructure | 17% | - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Securities & Commodities Authority (SCA) |
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NEW QUESTION # 11
Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
Answer: A
Explanation:
UAE anti-money laundering regulations impose an explicit prohibition on financial institutions and designated non-financial businesses and professions (DNFBPs) dealing with shell banks. A shell bank is particularly problematic from an AML/CFT perspective because it typically lacks a meaningful physical presence and may not form part of an adequately regulated financial group. Such institutions can therefore be exploited to disguise beneficial ownership, obscure the movement of criminal proceeds or facilitate transactions outside effective regulatory supervision. The applicable UAE rules require relevant institutions to refrain from dealing with shell banks in any manner, including opening accounts for them or accepting funds or deposits from them. The prohibition does not apply merely because an organisation is structured as a mutual co-operative, benefit corporation or legitimate non-profit organisation; such entities may instead be subject to their own risk-based customer due diligence and monitoring requirements. The distinguishing regulatory prohibition in this question is therefore the dealing ban applicable to shell banks. Accordingly, option A is correct.
NEW QUESTION # 12
A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
Answer: D
Explanation:
According to CISI UAE Financial Rules and Regulations, a licensed person dealing with security tokens must conduct a suitability check when the client is not a qualified investor. This requirement protects less sophisticated investors by ensuring that the financial products offered match their investment knowledge, risk tolerance, and financial circumstances. Qualified investors are presumed to have sufficient expertise and resources, thus not mandating suitability checks. The nature of the token or amount invested is not the primary trigger; rather, client qualification status governs the obligation to perform suitability assessments.
This aligns with investor protection principles embedded in UAE financial regulations.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Suitability Checks, Section
4.3.9 (2023).
NEW QUESTION # 13
Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:
Answer: B
Explanation:
Under the CISI UAE Financial Rules and Regulations, brokers are required to submit regular statements of account to clients. These statements must include the client's balance of securities and cash, as well as details of all transactions executed. The statement must be submitted on a monthly basis, unless a different arrangement is specifically agreed upon between the broker and the client. This ensures transparency, allowing clients to stay informed about their investment portfolios and the status of their accounts. Regular monthly reporting is a fundamental requirement for protecting client interests and ensuring that financial institutions operate with the highest standards of accountability and client service.
Reference: CISI UAE Financial Rules and Regulations - Client Account Statements, Section 4.5.2 (2023).
NEW QUESTION # 14
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, applicants for a financial activities licence must ensure that their record-keeping systems allow for recovery of electronic records from archives within a maximum period of three business days. This requirement ensures timely access to data necessary for audits, investigations, and regulatory reviews. The three-business-day timeframe balances operational feasibility with regulatory needs for responsiveness and data integrity, supporting transparency and compliance in the UAE financial sector.
Reference: CISI UAE Financial Rules and Regulations - Record-Keeping and Data Recovery Procedures, Section 3.5.10 (2023).
NEW QUESTION # 15
DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
Answer: C
Explanation:
DFM brokerage firms are required to ensure that their employees have appropriate professional experience if they are employed to deal with clients or on their behalf. This is because employees interacting directly with clients must possess the necessary skills, knowledge, and experience to provide accurate information, manage client portfolios, and handle client transactions in compliance with regulatory standards. This ensures that clients are protected from potential mismanagement or malpractice and that the brokerage firm maintains a high standard of service.
Reference: CISI UAE Financial Rules and Regulations - Employee Competency Requirements for DFM Brokerage Firms, Section 7.2.1 (2023).
NEW QUESTION # 16
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