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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Trading | 11% | |
| Topic 2: Client Protection | 10% | |
| Topic 3: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 4: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Codes of Conduct - SCA Resolutions - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 8: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
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NEW QUESTION # 13
Brokers have a number of obligations in relation to client orders, including:
Answer: A
Explanation:
The CISI rules governing client orders require brokers to manage conflicts of interest and ensure fair treatment of clients. If a broker has an interest in a transaction being executed for a client, or another connection to the transaction that could create a conflict, the broker must take appropriate steps to protect the client, including disclosing its interest. The client must then be given the opportunity to refuse the transaction.
Option B therefore most accurately describes a direct obligation placed on the broker. Option A is incorrect because a broker must generally ensure that a client owns securities before a sell order is entered unless the transaction qualifies under the applicable short-selling regulations. Option C is also incorrectly framed: where an order breaches law or regulation, it is the ADX that has the right to order the broker to resell or repurchase securities to restore the previous position. For buy orders, clients normally must pay before execution unless specified exceptions apply. Accordingly, the correct answer is B.
NEW QUESTION # 14
The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
Answer: D
Explanation:
The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is 0.01 per barrel. This means that the price can move in increments of 1 cent per barrel, which is standard for most futures contracts of this type. The minimum price movement allows for a high degree of price discovery and liquidity in the market, as traders can make smaller adjustments to their positions. This is a crucial aspect of trading in commodities, where price fluctuations can have significant financial implications.
Reference: CISI UAE Financial Rules and Regulations - WTI Light Sweet Oil Futures, Section 7.2.1 (2023).
NEW QUESTION # 15
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
Answer: A
Explanation:
Behaviour regulations submitted by license applicants, such as a professional code of ethics, are classified under governance regulations within 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 # 16
The main purpose of the committee established by the Authority to monitor companies on the watch list is to ensure that they:
Answer: A
Explanation:
The watch list consists of companies transferred from the first listing category to the second category because they have failed to satisfy specified listing conditions. Under the CISI UAE Financial Rules and Regulations, a joint committee established by the Authority monitors companies placed on that watch list. Its central supervisory purpose is to assess whether the companies comply with the disclosure and listing requirements applicable to them. Monitoring initially applies for one year and can extend to a maximum of three years. A monitored company must also submit an action plan designed to regularise its position and become eligible for transfer back to the first category, with implementation progress disclosed periodically to the committee. Based on its assessment, the committee may recommend returning the company to the first category, retaining it in the second category with continued trading, or cancelling its listing. AML/CFT compliance and equitable shareholder treatment are important regulatory obligations generally, but they are not the specific purpose assigned to this watch-list committee. Therefore, option C is correct.
NEW QUESTION # 17
Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, if a client holds a debit balance with a brokerage firm on the Dubai Financial Market (DFM), the firm is prevented from accepting new orders from that client until the debit balance is cleared. This measure protects both the brokerage firm and market integrity by ensuring that clients do not accumulate unpaid debts from trading activities, thereby reducing credit risk. The restriction applies specifically to new orders; other services such as providing advice or selling securities may continue under certain conditions.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Debit Balance Controls, Section 4.4.12 (2023).
NEW QUESTION # 18
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