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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 10% | |
| Topic 2: Trading | 11% | |
| Topic 3: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 4: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Codes of Conduct - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Topic 5: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Topic 6: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 7: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 8: Dubai Financial Market (DFM) | 11% |
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NEW QUESTION # 149
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations sets out specific operational responsibilities for the Depository Centre following approval of a security's listing. Within one week from approval of the listing, the Depository Centre must install a terminal device for the registrar of the listed entity. The terminal enables the registrar to access the register, make necessary inquiries and perform required updates. Related rules also require the issuer, within one week of listing approval, to provide the Depository Centre with an up-to-date copy of its shareholder register and subsequently update it whenever necessary. These arrangements ensure that ownership information maintained by the Depository Centre remains accurate and current. This is particularly important because Depository Centre records provide legal evidence of securities ownership and support rights such as voting, dividends and bonus-share entitlements. The prescribed period is therefore one week, not three days, 15 days or three weeks. Accordingly, the maximum period specified in the CISI material for installation of the terminal device is one week, making option B correct.
NEW QUESTION # 150
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 # 151
During a trading session, if an order is not fully executed, then:
Answer: A
Explanation:
In the Dubai Financial Market (DFM) and other UAE exchanges, if an order is not fully executed during a trading session, the remaining unexecuted volume remains on the trading system at the last executed price, subject to the order's validity instructions (e.g., good-till-cancelled). This approach allows the unfilled portion to remain active in the market for potential matching with future opposing orders, supporting liquidity and order continuity. Orders are not automatically cancelled or deferred to the next session unless specified. This process ensures transparency and orderly execution consistent with regulatory trading rules.
Reference: CISI UAE Financial Rules and Regulations - Trading Order Execution Rules, Section 7.2.8 (2023).
NEW QUESTION # 152
When a licensed firm refers a client complaint to another body, it must:
Answer: D
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 # 153
An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:
Answer: B
Explanation:
In trading systems regulated under the CISI UAE Financial Rules and Regulations, brokers must ensure the accuracy of account details associated with transactions. However, if an error occurs, such as using an incorrect trading account number, amendments are generally not allowed beyond the trading session unless specific conditions are met. The CISI rules state that amendments will only be made in exceptional circumstances. For instance, if the request for the amendment is made shortly after the session, such as within
40 minutes, and it can be demonstrated that the error had no significant impact on market stability or the involved parties, it may be considered exceptional. Therefore, a correction request is usually subject to a careful review of its impact, and the circumstances of the error must be deemed significant enough to warrant such an exception.
Reference: CISI UAE Financial Rules and Regulations - Trading Errors and Amendments, Section 8.4.1 (2023).
NEW QUESTION # 154
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