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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 2: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 3: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - Codes of Conduct - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 6: Trading | 11% | |
| Topic 7: Client Protection | 10% | |
| Topic 8: Dubai Financial Market (DFM) | 11% |
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NEW QUESTION # 25
What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?
Answer: D
Explanation:
Under Federal Law No. 20 of 2018 and relevant CISI UAE Financial Rules and Regulations, the minimum fine imposed on a person convicted of financing an illegal organisation is AED 150,000. This penalty underscores the seriousness with which the UAE treats the crime of funding illegal or terrorist entities.
Alongside financial sanctions, convicted individuals may face imprisonment and other legal consequences.
These stringent penalties are part of the UAE's commitment to combating terrorism financing and protecting national and international security.
Reference: CISI UAE Financial Rules and Regulations - AML Criminal Sanctions, Section 8.4.5 (2023).
NEW QUESTION # 26
A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?
Answer: D
Explanation:
The Dubai Financial Market's Professional Code of Conduct grants the DFM the right to access and review all core client-related records maintained by brokerage firms, including client agreements, selling orders, and accounts. This comprehensive access enables the DFM to monitor compliance, investigate complaints, and ensure that firms adhere to regulatory and ethical standards. Access to all three categories is essential to provide a complete picture of client interactions and transactions, ensuring market transparency and investor protection. Partial access would impair effective oversight and enforcement.
Reference: CISI UAE Financial Rules and Regulations - DFM Professional Code of Conduct, Records Access and Review, Section 4.1.6 (2023).
NEW QUESTION # 27
When a firm performs internal reconciliations of the financial instruments held for each client, what must it do if the reconciliation shows a discrepancy?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations requires firms holding client financial instruments to carry out reconciliations between their internal records of each client's entitlement and the financial instruments actually held by the firm or by third parties. Where such a reconciliation identifies a discrepancy, the firm must make good, or provide the equivalent of, any shortfall for which it is responsible . If another person is responsible for the discrepancy, the firm must instead take reasonable steps to resolve the position with that person. Firms must also notify the regulator without delay if they fail to comply with the applicable reconciliation requirements. This rule is distinct from the separate requirements governing internal reconciliations of client money , where a discrepancy must be investigated and a cash shortfall paid into the client bank account, or an excess removed, by close of business on the day the reconciliation is performed.
Therefore, neither a 30-day notification period nor a seven-day correction period applies here. Option D precisely reflects the CISI requirement.
NEW QUESTION # 28
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
Answer: B
Explanation:
According to the CISI UAE Financial Rules and Regulations, the process for establishing a local investment fund, including a public fund, involves obtaining approval from the relevant regulatory authority, which is usually the Securities and Commodities Authority (SCA). For public funds, the authority is required to either grant or reject the application within 20 working days from the submission date. This time frame ensures that there is adequate time for the Authority to review the application, conduct necessary evaluations, and ensure that the fund complies with all regulatory and legal requirements. The 20-working-day period ensures efficiency while allowing for a thorough review.
Reference: CISI UAE Financial Rules and Regulations - Investment Fund Establishment Process, Section
6.2.1 (2023).
NEW QUESTION # 29
A key reason why the regulator applies financial promotion rules is to ensure that:
Answer: A
NEW QUESTION # 30
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