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| Section | Weight | Objectives |
|---|---|---|
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
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NEW QUESTION # 178
Where an existing public company wants to issue further shares via a rights issue, this must be announced at least what minimum period before the start date of the subscription?
Answer: B
Explanation:
The UAE rules governing capital increases by public joint-stock companies establish specific disclosure requirements for rights offerings. According to the CISI UAE Financial Rules and Regulations material, a rights issue must be announced at least 20 business days before the subscription period begins. The advance notice gives existing shareholders sufficient time to assess the proposed capital increase and determine whether to exercise, sell or otherwise deal with their subscription rights. The announcement is expected to provide material details such as the amount and percentage of the capital increase, the exercise price of the rights, the opening and closing dates for trading the rights, and the opening and closing dates for subscribing to the new shares. The rights themselves are traded separately from the existing shares for the prescribed trading period. The alternatives of 28 or 56 calendar days and 40 business days do not represent the minimum announcement period specified in the CISI material. Therefore, the required minimum advance announcement period is 20 business days, making option A correct.
NEW QUESTION # 179
If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?
Answer: B
Explanation:
If a discrepancy is identified during an external reconciliation process, the firm is required to investigate and correct it as soon as possible. The CISI UAE Financial Rules and Regulations emphasize that discrepancies, whether in financial data or operational procedures, must be thoroughly examined to determine the root cause and rectified promptly. Immediate corrective action helps to ensure that financial statements and other reports remain accurate and reliable, preventing any further errors or compliance issues. While it may be necessary to inform the regulator or suspend operations in extreme cases, the first priority is to address the discrepancy through investigation and correction.
Reference: CISI UAE Financial Rules and Regulations - Reconciliation and Error Resolution, Section 8.1.4 (2023).
NEW QUESTION # 180
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
Answer: B
Explanation:
The CISI rules governing securities pledges require a pledge request to be submitted using the prescribed form and to contain minimum information enabling the CSD Department to identify the securities, the parties and the economic rights connected with the pledge. The required information includes the creditor on mortgage, the debtor on mortgage who owns the securities, details identifying the securities subject to the pledge-including the issuing company and quantity-and the party entitled to the profits generated by those securities. The entitlement to profits is particularly significant because dividends or other distributions may arise while securities remain pledged, and the CSD must know whether those economic benefits belong to the investor or the pledgee. Although a pledging period may appear in particular market pledge instructions, the CISI examination provision identifying the minimum information on the relevant CSD pledge request specifically includes the party entitled to profits. The reason for the pledge and an agreed default option are not among the stated minimum particulars tested here. Therefore, option C is correct.
NEW QUESTION # 181
What happens to a day order to sell on the DFM if it is not executed by the end of that day?
Answer: D
Explanation:
A day order is an order whose validity is restricted to the trading day on which it is entered. Unlike a good-till- cancelled order, which can remain available for execution across subsequent trading sessions until cancelled or otherwise terminated under applicable rules, a day order does not carry forward automatically.
Consequently, if a DFM day order to sell remains unexecuted when the trading day ends, the order automatically expires . The investor does not receive a post-close choice simply to carry the same day order into the following session, and the broker does not possess discretion to convert an expired day order automatically into a continuing order. If the investor still wishes to sell the securities on the following trading day, a new valid order must be entered under the appropriate order-validity instruction. The distinction between day orders and longer-duration orders is important because it determines how long an instruction remains exposed to the market. Therefore, among the alternatives provided, automatic expiry at the end of the trading day accurately reflects the nature of a day order, making option C correct.
NEW QUESTION # 182
For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:
Answer: D
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 # 183
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