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| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
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NEW QUESTION # 82
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 # 83
Which of the following features of a previous order can be changed with the order remaining valid?
Answer: B
Explanation:
In UAE financial markets, certain order attributes can be modified after submission while keeping the order active. According to the CISI UAE Financial Rules and Regulations on Trading, thevolumeof a previous order is the feature that can be changed without invalidating the order. Adjusting volume allows traders to increase or decrease the quantity of securities to be traded without withdrawing and resubmitting the order.
However, changes to share category, market, or order type typically require cancellation of the existing order and placing a new one, as these changes affect the fundamental nature and execution venue of the order. This flexibility in modifying volume supports market efficiency and helps traders respond swiftly to changing conditions while maintaining order validity.
Reference:CISI UAE Financial Rules and Regulations - Trading Rules and Order Modifications, Section
7.1.5 (2023).
NEW QUESTION # 84
An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?
Answer: D
Explanation:
CISI UAE Financial Rules and Regulations require that feasibility studies and work plans submitted by licence applicants be evaluated using a SWOT analysis (Strengths, Weaknesses, Opportunities, and Threats).
This comprehensive method assesses the internal and external factors affecting the viability and strategic positioning of the applicant's business plan. The SWOT analysis helps regulators understand the applicant's operational readiness, competitive environment, risk exposures, and growth potential, ensuring robust due diligence before licensing. Other methods such as operational risk matrices or stress testing may be used in broader risk assessments but are not the primary evaluation tool for feasibility studies.
Reference: CISI UAE Financial Rules and Regulations - Licensing Procedures and Evaluation, Section 3.6.2 (2023).
NEW QUESTION # 85
The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
Answer: A
Explanation:
The Dubai Gold & Commodities Exchange (DGCX) contract specification for West Texas Intermediate (WTI) Light Sweet Crude Oil Futures establishes a clearly defined expiry timetable. The last trading day is four business days prior to the 25th calendar day of the month preceding the expiry or delivery month .
For example, if the futures contract relates to March, its last trading day falls on the fourth business day before 25 February. This convention allows sufficient time between the termination of trading and final cash- settlement procedures. The DGCX specification applies the same last-trading-day structure to its standard WTI contract and the Mini WTI product, although their contract sizes and tick values differ. Option A incorrectly relates expiry to the final business day of the delivery month, while option B has no basis in the WTI specification. Option D resembles expiry conventions associated with other commodity contracts and is not the applicable WTI rule. Consequently, the contract specification confirms that option C is correct.
NEW QUESTION # 86
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
Answer: A
Explanation:
The DFM Professional Code of Conduct imposes a specific restriction on brokerage firms concerning market data and information about entities whose securities are listed on the exchange. A brokerage firm must not publish or promote market data or information concerning the status of a listed entity unless the information has first been verified and made public by the concerned entity . This prevents brokers from distributing unconfirmed, selective or prematurely disclosed information that might influence prices or create information asymmetry between investors. The rule complements broader DFM obligations requiring brokerage firms to act honestly and fairly and to avoid misleading conduct. The broker does not need a separate publication approval from the Authority for every item falling within this rule. Signing a conflict-of-interest disclaimer does not convert unpublished information into permissible market data, and assessing the information's potential impact is not the regulatory trigger allowing publication. The decisive condition is that the information has been verified and publicly disclosed by the entity concerned. Accordingly, option B is correct.
NEW QUESTION # 87
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