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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 2: Trading | 11% | |
| Topic 3: Dubai Financial Market (DFM) | 11% | |
| Topic 4: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - SCA Resolutions - Codes of Conduct |
| Topic 5: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 6: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 8: Client Protection | 10% |
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NEW QUESTION # 71
The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:
Answer: C
Explanation:
Disclosing a licensed body's legal status and its licensing by the Authority is crucial because it enables clients and others who may suffer from perceived or actual misbehaviour to raise their concerns with the regulator.
This transparency mechanism empowers investors and market participants to seek redress and promotes regulatory oversight. While the disclosure also signifies the firm's subjection to regulatory supervision, the primary benefit is facilitating complaint handling and protection. It does not imply that no misbehaviour occurs, nor does it authorize the unauthorised use of the Authority's branding by third parties.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Regulatory Disclosure, Section 4.1.8 (2023).
NEW QUESTION # 72
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?
Answer: C
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 # 73
When a firm applies for a licence, it is only necessary to provide an exit strategy plan covering contract termination with an outsourced party if the firm intends to:
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations imposes additional outsourcing controls when a licence applicant proposes to use cloud computing for servers, databases, applications, storage, networks or similar computing resources. The applicant must demonstrate a clear understanding of cloud-related risks and ensure that prescribed safeguards apply to the outsourced service provider. These include requirements concerning location of servers, confidentiality, annual external auditing of information security, data preservation and backup arrangements. Importantly, the applicant must provide an exit strategy plan dealing specifically with termination of the contract with the outsourced cloud service provider. The strategy must ensure that data and information can be maintained and transferred validly without loss and without breaching applicable laws or regulations. The requirement is consequently associated with cloud computing outsourcing rather than simply with the duration of an outsourcing agreement, the enforceability of a contract, or the fact that a service provider is situated outside the State. Indeed, the CISI rules require the relevant cloud servers to be inside the UAE. Therefore, option A is correct.
NEW QUESTION # 74
When a licensed firm refers a client complaint to another body, it must:
Answer: C
Explanation:
A licensed firm's complaint-handling procedures must address situations where another body is wholly or partially responsible for the subject matter of a client's complaint. The applicable SCA rules require the firm to notify the complainant that referral is proposed and, if the complainant agrees, refer the relevant portion immediately while supplying written information concerning the referral date, responsible person and contact details. Importantly, where only part of the complaint is referred, the original licensed firm must continue handling any part of the complaint that was not referred . This prevents unresolved elements from being abandoned merely because another organisation has responsibility for a separate aspect of the matter. The regulations do not require suspension of the remaining complaint. Nor is notification limited simply to a telephone call or email, since formal dated and written notification requirements apply. The provision also uses a ten-business-day period in relation to a complainant refusing or failing to respond to a referral-not a
30-day appeal period. Therefore, option B accurately reflects the prescribed complaint-handling procedure.
NEW QUESTION # 75
Applicants for an Authority licence must supply details covering the retention of employee data for what minimum period from the date of the last update?
Answer: A
Explanation:
The CISI UAE Financial Rules and Regulations requires licence applicants to establish an employees regulation covering the standards, records and controls applicable to personnel. The applicant must maintain a continuously updated employee record containing relevant employee data, responsibilities and the date on which each employee began performing their duties. Critically, the CISI manual specifies that employee data must be retained for ten years from the date of the last update . This is substantially longer than the three-, five- or seven-year alternatives presented in the question. The retention requirement supports the Authority's supervisory and investigative functions by preserving a reliable historical record of personnel who performed regulated activities and the responsibilities allocated to them. The same employee-regulation framework also requires mechanisms for revising and updating employee rules and maintaining professional conduct standards. Because the question asks specifically for the minimum period calculated from the employee record's last update, the applicable period is ten years. Therefore, option D is correct.
NEW QUESTION # 76
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