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| Section | Objectives |
|---|---|
| Anti-Money Laundering and Financial Crime | - AML/CFT requirements in the UAE
|
| UAE Financial Regulatory Framework | - Securities and investment regulation
|
| Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Financial Conduct and Compliance | - Conduct of business standards
|
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質問 # 130
What are brokerage firms able to do during the closing session?
正解：A
解説：
The Dubai Financial Market distinguishes clearly between the pre-closing session and the final closing session. During the pre-closing session , orders are accumulated without immediate execution. Brokerage firms may enter new orders at determined prices and may adjust or cancel existing orders. At the end of that phase, eligible orders are matched using the theoretical auction price. The closing session is different.
According to the CISI UAE Financial Rules and Regulations, during the closing session data and information are displayed, enquiries may be made , and necessary reports can be printed. Brokerage firms may not adjust orders, cancel orders or enter new orders at this stage. This restriction preserves the finality of the closing auction and prevents additional order activity after the market has reached its closing state. Options A, B and D therefore describe activities that are specifically prohibited during the closing session. Of the choices provided, only making enquiries remains permitted. Consequently, option C is the verified answer.
質問 # 131
An application for conciliation has been submitted to the Authority. Within what maximum time following receipt must a decision be made?
正解：D
解説：
Conciliation provides a mechanism through which the Authority can suspend procedures for initiating a criminal prosecution for certain specified offences and instead resolve the matter through the prescribed conciliation procedure. The process begins when the violator submits a completed application to the Authority before the criminal case has been referred to court. The application must use the prescribed form and contain the required information and supporting documents. A committee established within the Authority then considers the application and reaches its decision by majority. Under the CISI UAE Financial Rules and Regulations, the committee must consider and decide upon the completed conciliation application within 15 working days from the date it is received. During this period, procedures for initiating the criminal case are suspended until the committee reaches its decision. The committee may approve or reject the request according to the public interest. The prescribed period is therefore neither ten working days nor one or two months. Consequently, option B accurately states the maximum decision period.
質問 # 132
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
正解：D
解説：
The CISI rules governing securities pledges require a pledge request to be submitted using the prescribed form and to contain minimum information enabling the CSD Department to identify the securities, the parties and the economic rights connected with the pledge. The required information includes the creditor on mortgage, the debtor on mortgage who owns the securities, details identifying the securities subject to the pledge-including the issuing company and quantity-and the party entitled to the profits generated by those securities. The entitlement to profits is particularly significant because dividends or other distributions may arise while securities remain pledged, and the CSD must know whether those economic benefits belong to the investor or the pledgee. Although a pledging period may appear in particular market pledge instructions, the CISI examination provision identifying the minimum information on the relevant CSD pledge request specifically includes the party entitled to profits. The reason for the pledge and an agreed default option are not among the stated minimum particulars tested here. Therefore, option C is correct.
質問 # 133
Which of the following does the Authority require licensed bodies to do in respect of close ties with other firms?
正解：B
解説：
The Authority requires licensed bodies to ensure that ownership, management or other close relationships with third parties do not interfere with effective regulatory supervision. Under the CISI UAE Financial Rules and Regulations, a licensed body must notify the Authority of any close ties and ensure that those ties will not impede the Authority's supervision and control. The person or entity with whom the close relationship exists must also satisfy applicable efficiency and appropriateness standards, and the licensed body must be prepared to supply documentation and information concerning the relationship whenever requested. If the Authority concludes that a close tie is inconsistent with licensing requirements or may obstruct supervision, it may require the relationship to be amended or terminated and may impose appropriate sanctions for non- compliance. The rule does not state that every close tie requires prior approval, nor does it restrict close ties exclusively to capital-market firms or branches of the same organisation. The operative obligation is notification combined with preservation of effective regulatory oversight. Therefore, option A is correct.
質問 # 134
Brokers must pay the value of securities sold on behalf of their clients, after deducting commissions and fees, before:
正解：D
解説：
The DFM settlement rules impose a clear obligation on brokerage firms regarding proceeds generated from securities sold for clients. Once a broker has executed a sale, it may deduct the applicable commissions and fees, but it must then pay the remaining sale proceeds to the client before the end of two days or before the end of the settlement period prescribed by the DFM , as applicable. Payment can be made using recognised methods such as an appropriately issued cheque or transfer to the client's account. Where the client does not request immediate receipt of the proceeds, the broker must credit the amount to the client's balance before the end of the settlement period for the securities sold. This requirement protects clients by preventing brokers from retaining sale proceeds beyond the permitted settlement timetable. The one-, three- and four-day alternatives do not reproduce the rule stated in the CISI/DFM material. Consequently, the prescribed period presented in option B-two days or the DFM settlement period-is the correct answer.
質問 # 135
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