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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 2: Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Topic 3: Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Topic 4: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Topic 5: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Topic 6: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Topic 7: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
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NEW QUESTION # 120
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
Answer: D
Explanation:
In the case of an in-kind share transfer where two evaluators produce different fair value figures, the average of the two amounts is typically used. This approach helps ensure fairness and reduces the risk of biases from individual evaluations. The CISI UAE Financial Rules and Regulations recommend averaging the values to arrive at a reasonable and balanced assessment, especially when the evaluators may have different methods or opinions regarding the valuation of assets. This method is widely accepted as it prevents any single evaluator's assessment from disproportionately influencing the final valuation.
Reference: CISI UAE Financial Rules and Regulations - In-kind Share Transfer Valuation, Section 8.4.2 (2023).
NEW QUESTION # 121
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?
Answer: D
Explanation:
When the Board of a securities market wishes to suspend a rule related to the market's operations, it must first obtain permission from the regulatory Authority. According to the CISI UAE Financial Rules and Regulations, if permission is not sought from the Authority before attempting to suspend the rule, the suspension request will not be valid. This requirement ensures that the Authority has oversight over the market's operational changes and can assess whether suspending the rule aligns with regulatory goals such as market stability, fairness, and transparency. This helps prevent arbitrary or inconsistent rule changes that might undermine investor confidence or disrupt the smooth functioning of the market.
Reference: CISI UAE Financial Rules and Regulations - Market Rule Suspension Procedures, Section 2.4.7 (2023).
NEW QUESTION # 122
When a firm performs internal reconciliations of the financial instruments held for each client, what must it do if the reconciliation shows a discrepancy?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations requires firms holding client financial instruments to carry out reconciliations between their internal records of each client's entitlement and the financial instruments actually held by the firm or by third parties. Where such a reconciliation identifies a discrepancy, the firm must make good, or provide the equivalent of, any shortfall for which it is responsible . If another person is responsible for the discrepancy, the firm must instead take reasonable steps to resolve the position with that person. Firms must also notify the regulator without delay if they fail to comply with the applicable reconciliation requirements. This rule is distinct from the separate requirements governing internal reconciliations of client money , where a discrepancy must be investigated and a cash shortfall paid into the client bank account, or an excess removed, by close of business on the day the reconciliation is performed.
Therefore, neither a 30-day notification period nor a seven-day correction period applies here. Option D precisely reflects the CISI requirement.
NEW QUESTION # 123
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 # 124
If title to units in a private investment fund is transferred to a professional investor, the minimum nominal value of these units must equate to at least:
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations imposes restrictions on transfers of title to units in private investment funds. Such units may be transferred to existing unit holders, to specified family members in the case of a family fund, or to a professional investor or counterparty subject to an important minimum-value condition. Where the transferee is a professional investor or counterparty, the nominal value of the transferred units must be at least AED 180,000, or the equivalent amount in another currency. This restriction reflects the private nature of the fund and ensures that transfers to new professional participants continue to satisfy the regulatory parameters applicable to private-fund investment. It also differentiates private funds from publicly promoted investment products, which are subject to different offering and distribution requirements. AED
120,000, AED 220,000 and AED 280,000 are not the thresholds specified by the CISI syllabus. Therefore, where ownership is transferred to a professional investor under the relevant private-fund rules, AED 180,000 is the minimum nominal value and option B is correct.
NEW QUESTION # 125
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