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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: The Regulatory Infrastructure	17%	- Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Federal Law No. 4 of 2000
Topic 2: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations	14%	- Federal Law No. 20 of 2018
Topic 3: Markets	11%	- General background - Disclosure and Transparency
Topic 4: Investment Funds	11%	- The local fund - Provisions specific to certain public funds
Topic 5: Trading	11%
Topic 6: Client Protection	10%
Topic 7: Dubai Financial Market (DFM)	11%
Topic 8: Licensed Bodies	14%	- General provisions - Licensing financial activities - Requirements of capital market institutions

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q102-Q107):

NEW QUESTION # 102
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?

A. A 30-day notice was not provided
B. An Authority penalty was pending
C. The majority of the board was not present
D. It failed to seek permission from the Authority

Answer: D

Explanation:
When the Board of a securities market wishes to suspend a rule related to the market's operations, it must first obtain permission from the regulatory Authority. According to the CISI UAE Financial Rules and Regulations, if permission is not sought from the Authority before attempting to suspend the rule, the suspension request will not be valid. This requirement ensures that the Authority has oversight over the market's operational changes and can assess whether suspending the rule aligns with regulatory goals such as market stability, fairness, and transparency. This helps prevent arbitrary or inconsistent rule changes that might undermine investor confidence or disrupt the smooth functioning of the market.
Reference: CISI UAE Financial Rules and Regulations - Market Rule Suspension Procedures, Section 2.4.7 (2023).

NEW QUESTION # 103
The summary of an in-kind shares evaluation report must state the:

A. Book value of the asset
B. Evaluator's company
C. Qualifications of the evaluator
D. Fair value of the asset

Answer: D

Explanation:
The CISI UAE Financial Rules and Regulations specifies mandatory information that must appear in the summary of an in-kind shares evaluation report. The summary must disclose the fair value of the evaluated asset , together with confirmation concerning whether obligations, debts, mortgages, rights or other guarantees are charged over that asset in favour of third parties. It must also identify the valuation methodologies used by the evaluator to determine fair value in accordance with professionally recognised principles appropriate to the asset concerned. Fair value is central because the valuation determines the economic value attributed to the in-kind contribution and consequently affects the number and value of investment-fund units issued in exchange for that contribution. The book value may differ materially from current economic value and is therefore not the specified disclosure tested here. Although information concerning the evaluator and its independence is relevant elsewhere in the regulatory framework, neither the evaluator's qualifications nor the name of the evaluator's company substitutes for the mandatory fair-value disclosure. Accordingly, option B is correct.

NEW QUESTION # 104
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A. Deposit not less than 100% of the public subscription proceeds within one business day of receipt
B. Deposit not less than 90% of the public subscription proceeds within two business days of receipt
C. Deposit not less than 100% of the public subscription proceeds within two business days of receipt
D. Deposit not less than 90% of the public subscription proceeds within one business day of receipt

Answer: A

Explanation:
Special Purpose Acquisition Companies (SPACs) operating under UAE financial regulations must safeguard investors' funds post-public subscription. According to the CISI UAE Financial Rules and Regulations, SPACs are required to deposit 100% of the public subscription proceeds within one business day of receipt into an escrow or segregated account. This requirement ensures that the funds are secured and managed transparently while awaiting acquisition activities. The strict one-business-day deadline prevents misuse or misallocation of investor money and aligns with international best practices for fund protection.
This is critical in maintaining market confidence and regulatory compliance, as SPACs act as investment vehicles with inherent risk related to future mergers or acquisitions.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and SPAC Requirements, Section 6.3.1 (2023).

NEW QUESTION # 105
Financial institutions must retain all records, documents, data and statistics for all financial transactions and local or international commercial and cash transactions for a period of no less than:

A. Ten years from the date of completion of the transaction or termination of the business relationship with the customer
B. Five years from the date of completion of the transaction or termination of the business relationship with the customer
C. Three years from the date of completion of the transaction or five years from the termination of the relationship with the customer
D. Five years from the date of completion of the transaction or ten years from the termination of the relationship with the customer

Answer: B

Explanation:
The UAE AML/CFT record-keeping requirements require financial institutions and designated non-financial businesses and professions to preserve relevant records for no less than five years. The prescribed period runs from the date on which the transaction is completed or, where an ongoing customer relationship exists, from termination of that business relationship. Records covered by the requirement include financial and commercial transaction records, customer due diligence information, ongoing-monitoring documentation, account files, business correspondence, identification documents, suspicious transaction reports and the results of relevant analysis. The records must also be organised so that financial transactions can be reconstructed, analysed and tracked, and they must be made available promptly to competent authorities when requested. Options A and B incorrectly apply different retention periods depending upon transactions and customer relationships, while option D incorrectly increases the statutory minimum to ten years. The CISI manual expressly identifies the minimum as five years following completion of the transaction or termination of the customer relationship. Therefore, option C is correct.

NEW QUESTION # 106
The role of the authorised agent of the exchange-traded fund (ETF) is to:

A. regularly announce the indicative value of the net value of assets
B. ensure that the transfer of ownership of units is completed
C. update sell and buy orders
D. announce the net value of the unit's assets on a daily basis

Answer: A

Explanation:
The authorised agent of an ETF has a critical role in maintaining transparency and liquidity in the market.
According to CISI UAE Financial Rules and Regulations, the authorised agent is responsible for regularly announcing the indicative value of the net assets of the ETF units. This indicative net asset value (iNAV) provides investors and market participants with a near real-time estimate of the underlying assets' value, reflecting market fluctuations throughout the trading day. Unlike the official net asset value (NAV), which is typically calculated at the end of the trading day, the iNAV supports intra-day trading decisions and helps maintain price alignment between the ETF units and their underlying assets. This responsibility is fundamental in ensuring efficient price discovery and protecting investor interests in the ETF market.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds and ETF Operations, Section
6.4.2 (2023).

NEW QUESTION # 107
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