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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 2: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 3: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 4: Dubai Financial Market (DFM) | 11% | |
| Topic 5: The Regulatory Infrastructure | 17% | - Codes of Conduct - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Securities & Commodities Authority (SCA) |
| Topic 6: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 7: Trading | 11% | |
| Topic 8: Client Protection | 10% |
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NEW QUESTION # 173
During a trading session of the DFM, a selling transaction can be executed:
Answer: D
Explanation:
The Dubai Financial Market operates an electronic, order-driven trading system during its continuous trading session. Once the market enters the normal trading phase, buy and sell orders can be entered and matched according to the applicable price and time priority rules. A security can therefore be bought or sold at any time throughout the continuous trading session , subject to market controls such as price limits, suspensions and other applicable trading restrictions. There is no general rule limiting selling transactions to the first 50 or 55 minutes of each hour, nor is selling universally prohibited during the final 15 minutes of the normal trading phase. The CISI material separately distinguishes continuous trading from pre-opening, pre- closing and closing sessions. During pre-closing, orders are accumulated for the closing auction, while during the final closing session firms cannot enter new orders, adjust existing orders or cancel them. The question, however, refers specifically to execution during the DFM trading session. Accordingly, option A correctly reflects continuous trading principles.
NEW QUESTION # 174
How long must licence applicants keep back-up copies of records?
Answer: B
Explanation:
Licence applicants must establish comprehensive record-keeping procedures covering electronic and non- electronic records relating to the licensed body, technical guides and regulations, regulated activities, client transactions and data, account-opening agreements and other information connected with conducting financial activities. The CISI UAE Financial Rules and Regulations requires the mechanisms to permit retrieval of archived records within no more than three business days. More importantly for this question, the procedures must ensure that records are maintained securely for not less than ten years , with back-up copies retained for the same ten-year period and protected against damage or loss. This is distinct from the five-year retention period imposed by AML legislation for certain transaction and customer due-diligence records. The question concerns the broader record-keeping obligations of applicants for a financial-activities licence, where the ten-year requirement applies. Retention is therefore neither dependent on how long an individual client wishes records to remain available nor simply tied to the firm's entire corporate existence. The minimum specified period is ten years, making option D correct.
NEW QUESTION # 175
A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
Answer: A
Explanation:
According to CISI UAE Financial Rules and Regulations, a licensed person dealing with security tokens must conduct a suitability check when the client is not a qualified investor. This requirement protects less sophisticated investors by ensuring that the financial products offered match their investment knowledge, risk tolerance, and financial circumstances. Qualified investors are presumed to have sufficient expertise and resources, thus not mandating suitability checks. The nature of the token or amount invested is not the primary trigger; rather, client qualification status governs the obligation to perform suitability assessments.
This aligns with investor protection principles embedded in UAE financial regulations.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Suitability Checks, Section
4.3.9 (2023).
NEW QUESTION # 176
The main purpose of the committee established by the Authority to monitor companies on the watch list is to ensure that they:
Answer: D
Explanation:
The watch list consists of companies transferred from the first listing category to the second category because they have failed to satisfy specified listing conditions. Under the CISI UAE Financial Rules and Regulations, a joint committee established by the Authority monitors companies placed on that watch list. Its central supervisory purpose is to assess whether the companies comply with the disclosure and listing requirements applicable to them. Monitoring initially applies for one year and can extend to a maximum of three years. A monitored company must also submit an action plan designed to regularise its position and become eligible for transfer back to the first category, with implementation progress disclosed periodically to the committee. Based on its assessment, the committee may recommend returning the company to the first category, retaining it in the second category with continued trading, or cancelling its listing. AML/CFT compliance and equitable shareholder treatment are important regulatory obligations generally, but they are not the specific purpose assigned to this watch-list committee. Therefore, option C is correct.
NEW QUESTION # 177
The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
Answer: B
Explanation:
Per CISI UAE Financial Rules and Regulations, the compliance regulation guide submitted by licensing applicants must include procedures and mechanisms that ensure the compliance officer has access to sufficient resources. Adequate resources are critical for the compliance officer to effectively oversee adherence to regulatory requirements, manage risks, and implement compliance programs. This includes staffing, technology, training, and authority necessary to fulfill the role's responsibilities. While emergency powers or deputizing may be operationally important, the regulations emphasize resource adequacy as a fundamental compliance enabler.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Compliance Officer Requirements, Section 3.3.6 (2023).
NEW QUESTION # 178
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