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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 10% | |
| Topic 2: Dubai Financial Market (DFM) | 11% | |
| Topic 3: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 4: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - Codes of Conduct - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 5: Trading | 11% | |
| Topic 6: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 7: Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Topic 8: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
>> UAE-Financial-Rules-and-Regulations Originale Fragen <<
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64. Frage
Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:
Antwort: B
Begründung:
For self-funded founders accepting in-kind shares into a fund, the CISI UAE Financial Rules and Regulations require that the fund prospectus clearly state whether such shares are consistent with the fund's investment strategy. This ensures transparency for investors regarding the nature and suitability of the assets held within the fund. Declaring consistency with the investment strategy helps investors assess the fund's objectives and risk profile accurately. Other details like valuation and disposal are important but the primary disclosure focus is on strategic alignment to maintain trust and regulatory compliance. This requirement underscores the importance of fund governance and investor protection.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds, Fund Prospectus Requirements, Section 6.2.4 (2023).
65. Frage
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
Antwort: D
Begründung:
According to the CISI UAE Financial Rules and Regulations, the process for establishing a local investment fund, including a public fund, involves obtaining approval from the relevant regulatory authority, which is usually the Securities and Commodities Authority (SCA). For public funds, the authority is required to either grant or reject the application within 20 working days from the submission date. This time frame ensures that there is adequate time for the Authority to review the application, conduct necessary evaluations, and ensure that the fund complies with all regulatory and legal requirements. The 20-working-day period ensures efficiency while allowing for a thorough review.
Reference: CISI UAE Financial Rules and Regulations - Investment Fund Establishment Process, Section
6.2.1 (2023).
66. Frage
A licensed body submitted a requested document to the Authority and a short time later noticed that it was incomplete. How soon must it notify the Authority of this issue?
Antwort: C
Begründung:
Licensed bodies are subject to continuing obligations regarding information and documentation supplied to the Securities and Commodities Authority and other capital-market institutions. The CISI material requires a licensed body to notify the relevant entity immediately after discovering that information or documents previously submitted are incorrect, misleading, incomplete, inaccurate, outdated or have subsequently changed. The licensed body should identify the affected information or documents and explain the reason for the deficiency or change. This requirement protects the integrity of regulatory supervision because the Authority makes licensing, compliance and enforcement decisions using information submitted by regulated entities. Allowing inaccurate or incomplete material to remain uncorrected could undermine that supervisory process. The obligation is deliberately framed as an immediate notification requirement rather than allowing a fixed 48-hour, 72-hour or end-of-week correction period. The licensed body must also retain sufficient evidence showing that requested information and documents were properly delivered or submitted.
Consequently, once the firm discovers that the requested document was incomplete, it must notify the Authority immediately. Therefore, option A is correct.
67. Frage
If title to units in a private investment fund is transferred to a professional investor, the minimum nominal value of these units must equate to at least:
Antwort: C
Begründung:
The CISI UAE Financial Rules and Regulations imposes restrictions on transfers of title to units in private investment funds. Such units may be transferred to existing unit holders, to specified family members in the case of a family fund, or to a professional investor or counterparty subject to an important minimum-value condition. Where the transferee is a professional investor or counterparty, the nominal value of the transferred units must be at least AED 180,000, or the equivalent amount in another currency. This restriction reflects the private nature of the fund and ensures that transfers to new professional participants continue to satisfy the regulatory parameters applicable to private-fund investment. It also differentiates private funds from publicly promoted investment products, which are subject to different offering and distribution requirements. AED
120,000, AED 220,000 and AED 280,000 are not the thresholds specified by the CISI syllabus. Therefore, where ownership is transferred to a professional investor under the relevant private-fund rules, AED 180,000 is the minimum nominal value and option B is correct.
68. Frage
Brokers must pay the value of securities sold on behalf of their clients, after deducting commissions and fees, before:
Antwort: D
Begründung:
The DFM settlement rules impose a clear obligation on brokerage firms regarding proceeds generated from securities sold for clients. Once a broker has executed a sale, it may deduct the applicable commissions and fees, but it must then pay the remaining sale proceeds to the client before the end of two days or before the end of the settlement period prescribed by the DFM , as applicable. Payment can be made using recognised methods such as an appropriately issued cheque or transfer to the client's account. Where the client does not request immediate receipt of the proceeds, the broker must credit the amount to the client's balance before the end of the settlement period for the securities sold. This requirement protects clients by preventing brokers from retaining sale proceeds beyond the permitted settlement timetable. The one-, three- and four-day alternatives do not reproduce the rule stated in the CISI/DFM material. Consequently, the prescribed period presented in option B-two days or the DFM settlement period-is the correct answer.
69. Frage
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