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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Topic 2: Dubai Financial Market (DFM) | 11% | |
| Topic 3: Client Protection | 10% | |
| Topic 4: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) |
| Topic 5: Trading | 11% | |
| Topic 6: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| 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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NEW QUESTION # 103
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: A
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 # 104
The minimum paid-up capital requirement for credit rating agencies is:
Answer: A
Explanation:
Under the licensing framework covered by the CISI UAE Financial Rules and Regulations, credit rating agencies fall within the fourth licence category . The minimum paid-up capital requirement for this category is AED 5 million . This is considerably lower than the capital requirements applying to several other categories because the prudential risks associated with credit-rating activity differ from those created by securities dealing, investment management, custody or clearing. The CISI material's licence-category summary specifies AED 30 million for dealing in securities, AED 50 million for dealing in investment, AED
50 million for custody, clearing and recording, AED 5 million for credit rating agencies, and no minimum capital requirement for the fifth category of arrangement and advice in the version covered by the study material. Consequently, AED 10 million, AED 30 million and AED 50 million do not represent the capital requirement applicable specifically to credit rating agencies. The CISI multiple-choice answer section independently confirms AED 5 million for Category 4. Therefore, option A is correct.
NEW QUESTION # 105
A commodities market has failed to pay amounts due to the Authority for three months; however, its operations have not been suspended. Why is this?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations describes a progressive sanction process where a securities or commodities market fails to pay amounts due to the Authority. The sanctions are applied in sequence. First, the market may receive a warning identifying the financial default. Second, the Authority may issue a notice requiring the violation to be rectified within 30 days. Third, a financial penalty may be imposed for late payment, with a part-month treated as a full month when calculating that penalty. The final available sanction is temporary suspension of the market until the outstanding fees are paid. However, suspension is not the only possible final response . The CISI material expressly states that, alternatively, the matter may be brought before the Board so that it can determine another appropriate course of action. Therefore, the fact that payment has remained outstanding for three months does not make suspension inevitable. The scenario is explained by the Board considering an alternative sanction or response, making option A correct.
NEW QUESTION # 106
On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?
Answer: C
Explanation:
The Dubai Gold & Commodities Exchange (DGCX) provides trading for Dubai India Quanto Crude Oil futures with a contract tenor that includes 12 delivery months available for trading at any given time. This rolling 12-month schedule allows market participants to hedge or speculate on crude oil prices across the upcoming year, providing liquidity and flexibility. The availability of 12 delivery months is a standard practice for energy futures contracts, facilitating continuous market engagement and risk management over a full annual cycle. This structure is detailed in the DGCX contract specifications and is consistent with the UAE's commodity trading regulations aimed at market efficiency and transparency.
Reference: CISI UAE Financial Rules and Regulations - Commodity Markets and Futures Trading, DGCX Specifications, Section 7.4.1 (2023).
NEW QUESTION # 107
If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?
Answer: D
Explanation:
According to CISI UAE Financial Rules and Regulations, when in-kind shares are provided at fund inception and the subscription fails, the founders bear the related expenses in the absence of any special agreement. This allocation reflects the founders' responsibility in establishing and capitalizing the fund and absorbing initial setup costs, including those related to failed subscriptions. Share providers, auditors, or evaluators are not typically liable for such expenses unless contractual terms explicitly assign such responsibility. This regulatory stance encourages clarity and accountability in fund founding arrangements.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Incorporation and Expense Allocation, Section 6.2.11 (2023).
NEW QUESTION # 108
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