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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Topic 2: Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Topic 3: Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Topic 4: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Topic 5: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 6: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Topic 7: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
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NEW QUESTION # 187
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
Answer: A
Explanation:
According to CISI UAE Financial Rules and Regulations, a public joint-stock company is automatically barred from executing a buyback transaction if it issued shares in a public offer in the last six months. This regulatory restriction is designed to prevent market manipulation and protect shareholders' interests by ensuring sufficient market stability following a new share issuance. Buybacks shortly after public offerings could distort share prices or unfairly affect market liquidity. Other conditions like being an insurance company or state-designated firm do not automatically preclude buybacks under these regulations. This rule aligns with international corporate governance best practices governing share repurchases.
Reference: CISI UAE Financial Rules and Regulations - Share Buyback Rules, Section 5.4.7 (2023).
NEW QUESTION # 188
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Answer: D
NEW QUESTION # 189
What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?
Answer: C
Explanation:
The Clearing, Settlement and Depository Department (CSD Department) at the Abu Dhabi Securities Exchange maintains electronic records relating to ownership and transfer of listed securities. An issuer wishing to list its securities must provide the ADX with its shareholders' register, including shareholder details, balances and relevant ownership restrictions. The issuer remains responsible for ensuring that the information supplied is complete, valid and accurate. After the shareholders' register has been uploaded onto the ADX's electronic systems, the CISI UAE Financial Rules and Regulations specifically states that the CSD Department sends a copy of the electronic register to the issuer for reconciliation purposes .
Reconciliation enables the issuer to compare the electronic CSD record with its own information and identify inconsistencies before they affect ownership records or corporate actions. The procedure does not require issuing registration slips to every shareholder, notifying the Authority simply that uploading has occurred, or immediately storing an off-site disaster-recovery copy as the next prescribed step. Therefore, option C is correct.
NEW QUESTION # 190
Membership of an Authority regulated market is obligatory for which of the following entities?
Answer: B
Explanation:
Under the UAE regulatory framework, membership of an Authority-regulated market is obligatory for listed joint-stock companies, licensed brokers, and other listed entities. This requirement ensures that all entities involved in public trading or listed on the market adhere to the regulatory standards set by the market's governing body. It provides a structured environment for trading and market oversight, promoting transparency and fairness. The inclusion of licensed brokers and other listed entities ensures that all market participants are subject to the same rules, helping to maintain integrity and stability in the market.
Reference: CISI UAE Financial Rules and Regulations - Market Membership Requirements, Section 3.1.4 (2023).
NEW QUESTION # 191
What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations includes detailed contract specifications for the principal commodity futures products traded on the Dubai Gold & Commodities Exchange (DGCX). For the Dubai India Quanto Crude Oil Futures contract, the standard contract size is three barrels . The same specification provides a minimum price movement of US$1 and defines the last trading day as four business days before the 25th calendar day of the month preceding the delivery month. The product should not be confused with other crude-oil futures contracts covered in the syllabus. For example, the DGCX Mini West Texas Intermediate crude-oil contract uses a contract size of 100 barrels, which explains why option C is a plausible distractor. Different oil products employ different contract multipliers, settlement calculations and delivery-month structures. The Dubai India Quanto structure is specifically designed to provide India-related crude-oil price exposure while incorporating the relevant currency conversion mechanism. Since the CISI contract specification expressly states three barrels, option A is correct.
NEW QUESTION # 192
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