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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 2: Client Protection | 10% | |
| 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% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 5: Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Topic 6: Dubai Financial Market (DFM) | 11% | |
| Topic 7: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 8: Trading | 11% |
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NEW QUESTION # 47
The approved job for conducting securities dealing is:
Answer: B
Explanation:
In the CISI UAE Financial Rules and Regulations, the role formally authorized to conduct securities dealing is that of a Broker Representative. This role is specifically licensed and trained to execute trades on behalf of clients and manage securities transactions within regulatory frameworks. Other positions like Trading Manager or Operations Manager have important but different operational and supervisory functions and do not directly engage in client securities dealing. The Broker Representative's licensing ensures adherence to professional standards, client protection, and market integrity.
Reference: CISI UAE Financial Rules and Regulations - Licensing and Job Roles, Section 3.1.9 (2023).
NEW QUESTION # 48
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:
Answer: C
Explanation:
Under the UAE Anti-Money Laundering (AML) laws and regulations, financial institutions are required to periodically test the effectiveness of their internal policies, controls, and procedures designed to combat money laundering. The independent audit function is specifically responsible for testing and evaluating these AML frameworks. The independent auditor must assess whether the institution's systems and procedures effectively detect, prevent, and report suspicious transactions and activities. This audit ensures that the policies are up-to-date, comprehensive, and compliant with both local and international standards. Regular audits provide an additional layer of scrutiny, ensuring that financial institutions can demonstrate their commitment to preventing money laundering and terrorist financing.
Reference: CISI UAE Financial Rules and Regulations - AML Testing and Audits, Section 9.5.2 (2023).
NEW QUESTION # 49
The summary of an in-kind shares evaluation report must state the:
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations specifies mandatory information that must appear in the summary of an in-kind shares evaluation report. The summary must disclose the fair value of the evaluated asset , together with confirmation concerning whether obligations, debts, mortgages, rights or other guarantees are charged over that asset in favour of third parties. It must also identify the valuation methodologies used by the evaluator to determine fair value in accordance with professionally recognised principles appropriate to the asset concerned. Fair value is central because the valuation determines the economic value attributed to the in-kind contribution and consequently affects the number and value of investment-fund units issued in exchange for that contribution. The book value may differ materially from current economic value and is therefore not the specified disclosure tested here. Although information concerning the evaluator and its independence is relevant elsewhere in the regulatory framework, neither the evaluator's qualifications nor the name of the evaluator's company substitutes for the mandatory fair-value disclosure. Accordingly, option B is correct.
NEW QUESTION # 50
The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations require that the whistleblowing policy submitted by licence applicants incorporates a clear mechanism for protecting the reporting employee. This protection includes confidentiality safeguards, protection against retaliation, and secure channels for raising concerns. Ensuring the safety and anonymity of whistleblowers is fundamental to encouraging the reporting of unethical or illegal conduct, thereby enhancing regulatory compliance and corporate governance. Other aspects such as escalation procedures and disciplinary measures are important but secondary; the central pillar of effective whistleblowing policy is the protection of the individual who reports wrongdoing.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Whistleblowing, Section 3.4.2 (2023).
NEW QUESTION # 51
In order to be authorised to provide custody, clearing and recording services, which of the following professional roles would the Authority expect to see within a firm acting as registrar of a private joint-stock company?
Answer: A
Explanation:
Custody, clearing and recording constitutes the third licensing category under the CISI UAE Financial Rules and Regulations framework. The main professional functions expected within this category include a Category Manager or Official, Compliance Officer, Risk Management Officer and, ordinarily, an Operations Manager. However, the CISI material makes an important exception for an entity operating only as the registrar of private joint-stock companies: an Operations Manager is not required for that specific activity.
This distinction eliminates option C. An Investment Manager belongs to investment-management functions rather than the registrar activity, while a Broker Representative is associated with brokerage functions and is likewise not the prescribed role in this situation. A Category Manager, by contrast, remains one of the principal professional positions applicable to the third category and is therefore expected within a registrar firm. The same regulatory section identifies registrar of private joint-stock companies as one of the financial activities falling within custody, clearing and recording. Consequently, the correct answer is A, Category Manager.
NEW QUESTION # 52
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