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| Section | Weight | Objectives |
|---|---|---|
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
| Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
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NEW QUESTION # 176
For how many days after issuing a report must an in-kind shares evaluator refrain from trading in securities associated with the subject of the evaluation?
Answer: D
Explanation:
The rules governing evaluators of in-kind shares impose personal-dealing restrictions intended to preserve independence and prevent an evaluator from exploiting information obtained during the valuation process. An evaluator must disclose securities related to the evaluation report that they owned before preparing the report.
More importantly, the CISI UAE Financial Rules and Regulations imposes a defined dealing blackout surrounding publication of the valuation. The evaluator must refrain from trading securities associated with the subject of the evaluation, including related financial derivatives, for 15 days before issuing the evaluation report and five days after the report is issued . The question specifically asks for the post-report restriction, so the correct period is five days. Fifteen days is relevant, but it applies to the period preceding issuance and is therefore a deliberate distractor. Ten and thirty days are not the prescribed post-publication periods. These restrictions reduce the risk that an evaluator can personally benefit from valuation-sensitive information or create an appearance that the valuation was influenced by personal trading interests. Therefore, option A is correct.
NEW QUESTION # 177
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: B
NEW QUESTION # 178
The founders of a local investment fund must not dispose of the investment units owned by them for a period of at least:
Answer: B
Explanation:
The investment-fund regulations impose specific commitment requirements on the founders of a self-managed local fund. Among these requirements, the founders must subscribe an amount of at least AED 5 million into the fund and must not dispose of the investment units owned by them for at least six months from the date of foundation . The lock-in period demonstrates that the founders retain a meaningful financial interest during the fund's initial operating period instead of establishing the fund and immediately disposing of their holdings. This helps align the founders' interests with those of other investors and supports stability during the early stages of the fund. The rule is distinct from other 12-month periods appearing elsewhere in the investment-fund framework, such as the period within which a newly licensed local fund must begin implementing its investment policy. Accordingly, applying a 9-, 12- or 18-month lock-in would incorrectly combine separate regulatory requirements. The explicit founders' disposal restriction is six months from foundation. Therefore, option A is correct.
NEW QUESTION # 179
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
Answer: C
Explanation:
Behaviour regulations submitted by license applicants, such as a professional code of ethics, are classified undergovernance regulationswithin the CISI UAE Financial Rules and Regulations framework. Governance regulations encompass policies, standards, and codes that guide the ethical conduct, integrity, and responsibilities of licensed entities and their employees. They are designed to promote accountability, compliance, and good corporate citizenship within the financial industry. Unlike technical systems, which relate to operational infrastructure, or employee regulations focused on HR and workplace rules, governance regulations provide the overarching ethical and procedural guidelines essential for sustaining market confidence and protecting stakeholders. The inclusion of a professional code of ethics ensures license applicants demonstrate commitment to the principles of fairness, transparency, and fiduciary duty, which are fundamental requirements by the Securities and Commodities Authority (SCA) for licensing approval.
Reference:CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Governance, Section
3.1.4 (2023).
NEW QUESTION # 180
What additional rule applies to a venture capital fund once the value of its managed assets reaches AED 180 million?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations distinguishes venture capital funds according to whether their managed assets are below or at least AED 180 million. For a venture capital fund whose managed assets reach AED 180 million or more, the CISI study material states that the fund must prepare an annual report in accordance with International Financial Reporting Standards (IFRS), appoint a Risk Management Officer, and ensure that its total exposure to risk does not exceed its net asset value. Consequently, the appointment of a Risk Management Officer is the additional regulatory requirement represented by the answer choices. The requirement is not to introduce a separate cash buffer, perform more frequent asset reconciliations, or produce quarterly IFRS statements. The reporting requirement specified by the CISI material is annual rather than quarterly. This enhanced governance treatment reflects the greater scale and potential risk exposure of a larger venture capital fund and introduces dedicated risk oversight once the AED 180 million threshold is reached.
Therefore, option D is the correct CISI examination answer.
NEW QUESTION # 181
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