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| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - General background - Disclosure and Transparency |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct |
| Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Trading | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Client Protection | 10% | |
| Dubai Financial Market (DFM) | 11% |
>> UAE-Financial-Rules-and-Regulations Examsfragen <<
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124. Frage
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
Antwort: D
Begründung:
Behaviour regulations submitted by license applicants, such as a professional code of ethics, are classified undergovernance regulationswithin the CISI UAE Financial Rules and Regulations framework. Governance regulations encompass policies, standards, and codes that guide the ethical conduct, integrity, and responsibilities of licensed entities and their employees. They are designed to promote accountability, compliance, and good corporate citizenship within the financial industry. Unlike technical systems, which relate to operational infrastructure, or employee regulations focused on HR and workplace rules, governance regulations provide the overarching ethical and procedural guidelines essential for sustaining market confidence and protecting stakeholders. The inclusion of a professional code of ethics ensures license applicants demonstrate commitment to the principles of fairness, transparency, and fiduciary duty, which are fundamental requirements by the Securities and Commodities Authority (SCA) for licensing approval.
Reference:CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Governance, Section
3.1.4 (2023).
125. Frage
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:
Antwort: C
Begründung:
The CISI UAE Financial Rules and Regulations require that firms offering investment management services deliver periodic statements to retail clients at least every 6 months under normal circumstances. This frequency strikes a balance between providing clients with timely updates on their investments and operational practicality for firms. The statements include performance, transaction details, fees, and holdings, enabling retail clients to monitor their portfolios and make informed decisions. More frequent reporting may be required in special situations, but semi-annual reporting is the standard minimum.
Reference: CISI UAE Financial Rules and Regulations - Client Reporting Requirements, Section 4.5.3 (2023).
126. Frage
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?
Antwort: D
Begründung:
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.
127. Frage
Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?
Antwort: D
Begründung:
According to CISI UAE Financial Rules and Regulations, when the client is a legal person, customer due diligence (CDD) requires verification of identity for any natural person holding a minimum controlling ownership interest of 25%. This threshold identifies beneficial owners who have significant influence or control over the legal entity. Verifying these individuals is critical for AML/CTF compliance to prevent misuse of corporate vehicles for illicit purposes. The 25% figure aligns with international standards such as FATF recommendations and ensures that regulatory scrutiny extends beyond the legal entity to its key controllers.
Reference: CISI UAE Financial Rules and Regulations - Client Due Diligence, Beneficial Ownership Verification, Section 8.1.4 (2023).
128. Frage
Customer due diligence measures require management approval if the natural person involved is:
Antwort: B
Begründung:
Federal Law No. 20 of 2018 and related CISI UAE Financial Rules specify that enhanced customer due diligence procedures require management approval when the client is a politically exposed person (PEP).
PEPs present higher risks due to their potential access to public funds and influence, increasing vulnerability to corruption or money laundering. Management approval ensures senior oversight in onboarding and monitoring PEP clients, aligning with international AML/CTF best practices. Other conditions such as residency or age do not mandate this elevated level of scrutiny. This regulatory requirement enhances governance and mitigates reputational and compliance risks associated with politically exposed persons.
Reference: CISI UAE Financial Rules and Regulations - AML Regulations, Enhanced Due Diligence, Section 8.1.7 (2023).
129. Frage
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