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| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
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NEW QUESTION # 180
What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
Answer: C
Explanation:
Remote access to the Abu Dhabi Securities Exchange is available only to foreign brokerage companies that meet the ADX's prescribed eligibility conditions. Among those conditions, the foreign brokerage firm must be properly licensed for financial brokerage in its home jurisdiction by a regulator comparable to the SCA, and that regulator must operate appropriate KYC, customer due diligence and AML/CFT standards. The rules also state expressly that the firm's licence must not previously have been refused by any regulatory authority similar to the Authority . A prior refusal therefore means that an essential eligibility condition for remote access is not satisfied. It is not a matter that can be cured merely by supplying additional collateral or accepting restricted trading privileges. The rule is framed as an entry condition, not simply a discretionary risk factor to be considered by the ADX board. Consequently, a foreign brokerage company with such a previous licensing refusal does not qualify for remote access approval under the stated conditions. Among the options supplied, this makes automatic rejection the correct outcome. Therefore, option D is correct.
NEW QUESTION # 181
The Authority is permitted to cancel the licence of a licensed body if it fails to practise any financial activity within what prescribed period after obtaining the category licence?
Answer: B
Explanation:
The Authority has the power to cancel the licence of a licensed body, or cancel approval to practise a particular financial activity, in several specified circumstances. One of these circumstances arises when a licensed body does not actually commence the activities for which it has been authorised. The CISI UAE Financial Rules and Regulations states that if, for a period of six months from the date of obtaining the category licence, the licensed body has not practised at least one financial activity specified within that licence, the Authority may cancel the licence. This requirement prevents entities from obtaining regulatory authorisation and leaving it dormant indefinitely without conducting the regulated business for which the licence was granted. Other grounds for cancellation include failure to satisfy licence conditions, serious breaches of duties or obligations, submission of misleading or forged documentation, non-payment of prescribed fees or fines, bankruptcy-related circumstances, dissolution or liquidation. For the inactivity condition tested here, however, the relevant period is specifically six months. Therefore, option A is 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: C
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
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Answer: A
NEW QUESTION # 184
Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
Answer: B
Explanation:
An investor must obtain an investor number before opening a trading account and trading securities listed on the Abu Dhabi Securities Exchange (ADX). The CISI UAE Financial Rules and Regulations explains that investor numbers fall into three broad categories: individual, institutional and government. Within the individual category, investor numbers are further divided into national and foreign , making nationality the relevant classification factor. A national individual investor number is assigned to a UAE national natural person, whereas a foreign individual investor number is assigned to a natural person who does not hold Emirati citizenship. Similar national/foreign distinctions apply to institutional and government investor numbers. The ADX rulebook confirms this structure expressly. Neither the investor's tax status, portfolio value nor bank-account status determines whether an individual investor number is classified as national or foreign. Those factors may have relevance elsewhere in account administration or regulatory compliance, but they do not form the subdivision tested by this question. Therefore, the correct response is option B, the nationality of the investor.
NEW QUESTION # 185
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