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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 2: Client Protection | 10% | |
| Topic 3: Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: The Regulatory Infrastructure | 17% | - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - SCA Resolutions |
| Topic 6: Trading | 11% | |
| Topic 7: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 8: Dubai Financial Market (DFM) | 11% |
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NEW QUESTION # 30
A key reason why the regulator applies financial promotion rules is to ensure that:
Answer: C
Explanation:
Financial promotion rules are enforced by the regulator primarily to ensure that customers are treated fairly.
These rules govern how financial products and services are marketed to prevent misleading, deceptive, or aggressive promotions that could harm investors. By regulating promotional materials and communications, the Authority aims to protect consumers, enable informed decision-making, and maintain trust in the financial markets. While market competitiveness and operational risk management are important, customer fairness is the central objective of financial promotion regulations in the UAE.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Financial Promotions, Section 4.2.1 (2023).
NEW QUESTION # 31
When an application is made to list a crypto asset on a crypto asset exchange, the documentation provided to the Authority must include details of:
Answer: C
Explanation:
A crypto asset exchange seeking to list a crypto asset must provide the Authority with sufficient information to assess both the asset and the technology supporting it. Under the CISI UAE Financial Rules and Regulations, the listing application must include the initial and continuing criteria used to select the crypto asset for listing and trading, details of the relevant distributed ledger technology or protocol, fees or other compensation associated with the listing, and any hacking vulnerabilities affecting the technology underlying the crypto asset. The documentation must also address traceability of the crypto asset and the capability to apply controls designed to combat money laundering and terrorism financing. Disclosure of hacking vulnerabilities is particularly important because weaknesses in the underlying distributed-ledger technology can expose investors, custodians and markets to theft, unauthorised transfers and operational disruption. The specific listing requirements do not identify a software confidentiality agreement, historical losses of the applicant, or disaster-recovery methodology as the required item tested by this question. Therefore, option C directly reflects the CISI requirement.
NEW QUESTION # 32
On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?
Answer: D
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 # 33
An application for conciliation has been submitted to the Authority. Within what maximum time following receipt must a decision be made?
Answer: A
Explanation:
Conciliation provides a mechanism through which the Authority can suspend procedures for initiating a criminal prosecution for certain specified offences and instead resolve the matter through the prescribed conciliation procedure. The process begins when the violator submits a completed application to the Authority before the criminal case has been referred to court. The application must use the prescribed form and contain the required information and supporting documents. A committee established within the Authority then considers the application and reaches its decision by majority. Under the CISI UAE Financial Rules and Regulations, the committee must consider and decide upon the completed conciliation application within 15 working days from the date it is received. During this period, procedures for initiating the criminal case are suspended until the committee reaches its decision. The committee may approve or reject the request according to the public interest. The prescribed period is therefore neither ten working days nor one or two months. Consequently, option B accurately states the maximum decision period.
NEW QUESTION # 34
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?
Answer: D
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 # 35
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