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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Topic 2: Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Topic 3: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Topic 4: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Topic 5: Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 6: Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Topic 7: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
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NEW QUESTION # 149
There is a regulatory obligation placed on the evaluator of an investment fund's in-kind shares to indicate whether the shares:
Answer: D
Explanation:
Under the CISI provisions concerning evaluation of in-kind shares for investment funds, an evaluator has specific responsibilities relating to valuation quality, liquidity and risk. The evaluator must prepare the evaluation report in accordance with applicable international standards, use sufficient and complete information, properly assess the asset and clarify whether the in-kind shares provided to the investment fund are capable of being liquidated. This liquidity determination is important because an asset that cannot readily be disposed of may materially affect the fund's ability to implement its investment policy, meet liquidity requirements or realise value for investors. The evaluator must also analyse risks associated with the evaluated asset and reflect their potential effect on future expectations and assumptions used in the valuation.
The CISI requirement does not specifically require the evaluator, for this purpose, to state whether the shares were acquired at a discount, classify them as short- or long-term assets, or identify them as capital-growth or income-oriented investments. Consequently, option B directly corresponds to the evaluator obligation specified in the CISI study material.
NEW QUESTION # 150
Under what circumstances, if any, may financial analysts commit to providing favourable research coverage to issuers of securities?
Answer: C
Explanation:
The investment-research rules contained in the CISI UAE Financial Rules and Regulations are designed to protect the independence and objectivity of research and prevent conflicts of interest. A firm producing investment research must maintain arrangements preventing financial analysts and other relevant persons from allowing commercial interests to compromise the research process. Among the explicit restrictions, the firm and persons involved in producing research must not accept inducements from parties with a material interest in its subject matter, and financial analysts may not promise issuers favourable research coverage
. This is an outright prohibition rather than a rule subject to exceptions based on fees, corporate-group relationships or confidentiality agreements. Allowing an issuer to secure favourable coverage would undermine research independence and potentially mislead investors who rely on research recommendations.
Restrictions also apply to dealing ahead of unpublished research and to issuer review of drafts containing recommendations or target prices. Consequently, none of the circumstances described in options A, B or C permits a commitment to favourable coverage. Therefore, option D is correct.
NEW QUESTION # 151
Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
Answer: D
Explanation:
An investor must obtain an investor number before opening a trading account and trading securities listed on the Abu Dhabi Securities Exchange (ADX). The CISI UAE Financial Rules and Regulations explains that investor numbers fall into three broad categories: individual, institutional and government. Within the individual category, investor numbers are further divided into national and foreign , making nationality the relevant classification factor. A national individual investor number is assigned to a UAE national natural person, whereas a foreign individual investor number is assigned to a natural person who does not hold Emirati citizenship. Similar national/foreign distinctions apply to institutional and government investor numbers. The ADX rulebook confirms this structure expressly. Neither the investor's tax status, portfolio value nor bank-account status determines whether an individual investor number is classified as national or foreign. Those factors may have relevance elsewhere in account administration or regulatory compliance, but they do not form the subdivision tested by this question. Therefore, the correct response is option B, the nationality of the investor.
NEW QUESTION # 152
An application submitted to the ADX by the brokerage company to enable it to supply E-Trading services will result in a decision to approve or reject the application within:
Answer: B
Explanation:
Brokerage firms seeking approval from the Abu Dhabi Securities Exchange (ADX) to offer E-Trading services are subject to a timely review process. According to the CISI UAE Financial Rules and Regulations, the ADX is required to make a decision to approve or reject such applications within 5 business days. This rapid response timeline ensures that brokers can efficiently begin offering E-Trading services to clients, which is crucial in today's fast-paced financial markets. By maintaining this short decision-making window, the ADX fosters an environment of operational efficiency and responsiveness, which supports both market development and investor confidence.
Reference: CISI UAE Financial Rules and Regulations - E-Trading Approval Process, Section 10.4.1 (2023).
NEW QUESTION # 153
For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:
Answer: C
Explanation:
Per CISI UAE Financial Rules and Regulations governing investment funds, a semi-annual report on the public fund's performance must be prepared no later than 2 months from the end of the semi-annual period.
This reporting timeline ensures timely disclosure to investors and regulators, providing transparency about fund performance, investment activities, and compliance with regulatory standards. The semi-annual report serves as a key accountability mechanism, enabling investors to make informed decisions and maintain confidence in the fund management. The requirement for a two-month deadline aligns with global best practices in fund reporting.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Reporting Requirements, Section
6.5.4 (2023).
NEW QUESTION # 154
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