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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Dubai Financial Market (DFM) | 11% | |
| Topic 2: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 3: Client Protection | 10% | |
| 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% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Topic 6: The Regulatory Infrastructure | 17% | - SCA Resolutions - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 7: Trading | 11% | |
| Topic 8: Markets | 11% | - General background - Disclosure and Transparency |
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NEW QUESTION # 49
The market must provide an electronic trading system which ensures:
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations specifies core controls that must be incorporated into a market's electronic trading system. One of the principal controls is the automatic stopping of purchase orders where those orders exceed the limits supported by a broker's bank guarantee or reach the threshold applicable to a special order. Automation is significant because the control must operate at system level and prevent a broker from accepting exposure beyond the financial security available to support its transactions.
The CISI material defines a special order as an order approved in advance by the market for a securities transaction exceeding 80% of the amount of the broker's bank guarantee. The requirement is therefore not merely a facility enabling manual intervention, making option A incorrect. The electronic system must also enable listed entities and their registrars to view their own share registers; it is not designed simply to conceal that information. Multiple-investor trading-account provisions are governed separately. Consequently, option B directly reproduces the required electronic-trading safeguard and is the correct answer.
NEW QUESTION # 50
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations empower the Authority to impose financial fines of not less than AED 100,000 on licensed entities or persons found in violation of regulatory provisions. This minimum fine serves as a deterrent and underscores the regulator's authority to enforce compliance. While suspension of licensed bodies or activities can be imposed in some cases, the standard and frequently applied sanction is the financial penalty starting from AED 100,000. The Authority's sanctions framework ensures robust regulatory oversight and promotes adherence to UAE financial laws.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Sanctions and Penalties, Section 2.6.4 (2023).
NEW QUESTION # 51
What happens to a day order to sell on the DFM if it is not executed by the end of that day?
Answer: B
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 # 52
When an application is made to list a crypto asset on a crypto asset exchange, the documentation provided to the Authority must include details of:
Answer: D
Explanation:
A crypto asset exchange seeking to list a crypto asset must provide the Authority with sufficient information to assess both the asset and the technology supporting it. Under the CISI UAE Financial Rules and Regulations, the listing application must include the initial and continuing criteria used to select the crypto asset for listing and trading, details of the relevant distributed ledger technology or protocol, fees or other compensation associated with the listing, and any hacking vulnerabilities affecting the technology underlying the crypto asset. The documentation must also address traceability of the crypto asset and the capability to apply controls designed to combat money laundering and terrorism financing. Disclosure of hacking vulnerabilities is particularly important because weaknesses in the underlying distributed-ledger technology can expose investors, custodians and markets to theft, unauthorised transfers and operational disruption. The specific listing requirements do not identify a software confidentiality agreement, historical losses of the applicant, or disaster-recovery methodology as the required item tested by this question. Therefore, option C directly reflects the CISI requirement.
NEW QUESTION # 53
What happens if a listed company has its shares suspended for six months or more?
Answer: D
Explanation:
The CISI UAE Financial Rules and Regulations divides listed companies into first- and second-category listings according to prescribed financial and regulatory criteria. To remain in the first category, a company's shares must not have been suspended from trading for six months or more, and its accumulated losses must remain below the prescribed threshold. Where the shares have been suspended for six months or more , the market transfers the company's listing from the first category to the second category . Once transferred, the shares may subsequently resume trading under the special arrangements applicable to second-category companies. Such securities are displayed through a dedicated market screen, together with information identifying their second-category status and relevant investor-risk disclosures. The six-month suspension therefore produces a listing-category consequence rather than merely an automatic fine or unspecified enhanced supervision. Movement into the first category would be the opposite of the prescribed regulatory treatment. Accordingly, the CISI rule directly supports option A.
NEW QUESTION # 54
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