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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 2: Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| Topic 3: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 4: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Topic 5: Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Topic 6: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Topic 7: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
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NEW QUESTION # 112
To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?
Answer: B
Explanation:
A big block deal on the ADX's E-Trading system must involve securities that are at least 1.0% of the issuer's capital. This threshold ensures that large transactions, which could significantly affect the stock's market price, are categorized appropriately as big block deals. The rule helps to distinguish between regular trades and larger institutional trades, which often have different liquidity and market impact considerations. This also provides transparency for market participants regarding the size and nature of the transaction.
Reference: CISI UAE Financial Rules and Regulations - Big Block Deal Requirements on ADX, Section
6.1.2 (2023).
NEW QUESTION # 113
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations sets out specific operational responsibilities for the Depository Centre following approval of a security's listing. Within one week from approval of the listing, the Depository Centre must install a terminal device for the registrar of the listed entity. The terminal enables the registrar to access the register, make necessary inquiries and perform required updates. Related rules also require the issuer, within one week of listing approval, to provide the Depository Centre with an up-to-date copy of its shareholder register and subsequently update it whenever necessary. These arrangements ensure that ownership information maintained by the Depository Centre remains accurate and current. This is particularly important because Depository Centre records provide legal evidence of securities ownership and support rights such as voting, dividends and bonus-share entitlements. The prescribed period is therefore one week, not three days, 15 days or three weeks. Accordingly, the maximum period specified in the CISI material for installation of the terminal device is one week, making option B correct.
NEW QUESTION # 114
Applicants for an Authority licence must supply details covering the retention of employee data for what minimum period from the date of the last update?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations requires licence applicants to establish an employees regulation covering the standards, records and controls applicable to personnel. The applicant must maintain a continuously updated employee record containing relevant employee data, responsibilities and the date on which each employee began performing their duties. Critically, the CISI manual specifies that employee data must be retained for ten years from the date of the last update . This is substantially longer than the three-, five- or seven-year alternatives presented in the question. The retention requirement supports the Authority's supervisory and investigative functions by preserving a reliable historical record of personnel who performed regulated activities and the responsibilities allocated to them. The same employee-regulation framework also requires mechanisms for revising and updating employee rules and maintaining professional conduct standards. Because the question asks specifically for the minimum period calculated from the employee record's last update, the applicable period is ten years. Therefore, option D is correct.
NEW QUESTION # 115
A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?
Answer: D
Explanation:
Under the CISI UAE Financial Rules and Regulations, in the event of a tie vote by the board of the Authority, the chairman or their deputy is granted the casting vote to resolve the deadlock. This mechanism ensures decisions can be made efficiently without indefinite postponement. The casting vote provides a decisive voice to the chair in balancing the board's decisions, reflecting common governance principles in corporate and regulatory bodies. Automatic carriage or rejection of resolutions without further input is not allowed, and postponement is typically avoided to maintain regulatory effectiveness.
Reference: CISI UAE Financial Rules and Regulations - Governance and Board Procedures, Section 2.4.8 (2023).
NEW QUESTION # 116
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For corporate persons, this should include:
Answer: C
Explanation:
The Dubai Financial Market Professional Code of Conduct requires brokerage firms to take reasonable steps to establish the identity, contact information, financial circumstances and investment objectives of their clients. The information required varies according to the type of client. For a corporate person , the DFM rules require details including the company's or entity's name and nationality, its commercial register number and commercial licence , the place and date of issue of those documents, a copy of its memorandum of association, headquarters contact information and details of the individual authorised to manage the account. Option C therefore identifies information specifically required for corporate clients. Option B- profession, exact address, PO Box and telephone number-is associated with natural persons. Option A relates to securities portfolios managed by a licensed investment manager. Option D-nature of the entity, legal form, type and capital-is specifically identified for investment funds. The classifications are deliberately distinct so brokerage firms obtain appropriate identification evidence for each client structure.
Accordingly, for a corporate person, the correct answer is option C.
NEW QUESTION # 117
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