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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Topic 2: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 3: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Topic 4: Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Topic 5: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Topic 6: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Topic 7: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
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NEW QUESTION # 139
One of the financial activities included within "dealing in investment" and expected to be conducted by a Financial Analyst is:
Answer: A
Explanation:
The second SCA licence category is Dealing in Investment . The CISI UAE Financial Rules and Regulations identifies the principal functions for firms in this category as Category Manager or Official, Compliance Officer, Risk Management Officer and Investment Operations Manager. It then distinguishes the underlying financial activities and the approved jobs associated with them. The activities include managing investment funds' investments, managing securities portfolios and providing administrative services for investment funds.
For investment-management activities, approved positions include Fund Investment Manager or Portfolio Manager, Principal Financial Analyst and Financial Analyst . Therefore, managing securities portfolios is an activity within the Dealing in Investment category for which the Financial Analyst role is relevant. Trading brokerage and securities dealing instead belong to the first licence category, Dealing in Securities.
Administrative services for investment funds is included in Category 2, but the CISI table records no corresponding Financial Analyst approved job for that activity. Consequently, option C is the only response combining the correct regulated activity with the Financial Analyst role.
NEW QUESTION # 140
When promoting private funds, related materials must:
Answer: A
Explanation:
Promotional materials for private funds in the UAE must clearly clarify the fund's specific nature and include the required disclaimer as prescribed by the Authority. This requirement ensures that potential investors receive accurate and compliant information about the private fund's characteristics, risks, and restrictions. The disclaimer serves to limit investor expectations and legal liabilities. While certain media restrictions and content approvals may apply in some jurisdictions, the key regulatory focus is on transparency and proper disclosure within promotional materials to protect investor interests.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Promotion and Disclosure Requirements, Section 6.3.9 (2023).
NEW QUESTION # 141
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: A
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 # 142
The semi-annual financial report for a local investment fund must be audited by an external auditor within what maximum period following the end of the reporting period?
Answer: A
Explanation:
The UAE investment fund regulations distinguish between financial reports and other performance reports of a local fund. The investment fund administrator is responsible for maintaining the fund's accounts and preparing financial reports in accordance with International Financial Reporting Standards. The semi-annual financial report must be audited by an independent external auditor within no more than 45 days from the end of the relevant semi-annual period. In contrast, the annual financial report has a longer deadline: it must be audited by an independent external auditor within no more than three months after the end of the local fund's financial year. This distinction is important because another CISI requirement applies to the semi- annual performance report of a public fund, which has a different preparation deadline. The present question specifically asks about the semi-annual financial report and its external audit , so the applicable maximum is 45 days. Neither 35 days nor two or three months represents the required deadline for this report. Therefore, option B is correct.
NEW QUESTION # 143
An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?
Answer: C
Explanation:
Under the CISI UAE Financial Rules and Regulations governing Sukuk issuers with retail primary listings, obligors have continuing disclosure obligations designed to ensure transparency and maintain investor confidence. While immediate notification to the Authority is necessary, the obligor must also notify the market to keep all stakeholders informed promptly. Failure to inform the market simultaneously constitutes a breach, as investors rely on timely and complete information to make decisions. This dual-notification requirement is critical to ensure fairness and prevent information asymmetry. The nature of the new director's passport or experience is not the determining factor; rather, it is the procedural omission of market notification that constitutes the breach.
Reference: CISI UAE Financial Rules and Regulations - Continuing Obligations for Sukuk Issuers, Section
5.7.3 (2023).
NEW QUESTION # 144
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