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| Section | Weight | Objectives |
|---|---|---|
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
>> UAE-Financial-Rules-and-Regulations模試エンジン <<
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質問 # 154
Where debt instruments are held by cash investment funds, the credit rating of these instruments must reach what minimum threshold?
正解：A
解説：
Cash investment funds are designed to maintain high liquidity and relatively low credit and market risk.
Accordingly, the CISI UAE Financial Rules and Regulations establishes strict requirements governing the assets in which these funds may invest. At least 90% of the fund's assets must be invested in highly liquid cash instruments, and the maximum weighted average maturity is limited. Where the fund invests in debt instruments, those instruments must have a credit rating of not less than BBB+ , or an equivalent rating from a recognised credit-rating agency. This threshold reduces exposure to issuers whose credit quality falls below the minimum standard intended for a cash-oriented investment vehicle. The rules also restrict concentration in debt instruments issued by a single issuer and place limits on borrowing. Ratings of BB and BB+ fall below investment-grade thresholds, while BBB, although investment grade under common rating conventions, still falls short of the specific BBB+ minimum prescribed by this UAE fund rule. Therefore, the correct answer is D, BBB+.
質問 # 155
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
正解：B
解説：
According to CISI UAE Financial Rules and Regulations, brokerage companies must use 70% of the market value of securities they own to increase the value of their guarantee. This guarantee acts as a financial safeguard to ensure the firm's stability and protect clients and counterparties against default risk. The 70% proportion strikes a balance between maximizing the leverage of owned securities and maintaining prudent risk management. It reflects the regulatory emphasis on requiring sufficient collateral and guarantees to support brokerage operations, maintaining market confidence and financial soundness within the UAE capital markets.
Reference: CISI UAE Financial Rules and Regulations - Brokerage Firms Guarantees, Section 3.3.9 (2023).
質問 # 156
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 # 157
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
正解：A
解説：
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).
質問 # 158
A key purpose of customer due diligence measures is to address the risk of:
正解：B
解説：
Customer due diligence (CDD) is one of the principal preventive controls within the UAE anti-money laundering and counter-terrorist financing framework. Its purpose is to prevent financial institutions and other regulated businesses from being used to disguise criminal proceeds or facilitate prohibited financing. CDD requires firms to identify customers, verify their identity from reliable and independent information, identify and verify beneficial owners where applicable, understand the purpose and intended nature of the business relationship and undertake continuing monitoring. These measures allow the institution to compare actual transactions against its knowledge of the customer and identify activity that may indicate money laundering or terrorist financing. Cybercrime, insider dealing and embezzlement are significant financial-crime risks, but they are not the primary regulatory risk addressed by the CDD provisions tested in this section of the CISI syllabus. The syllabus expressly places CDD within the element dealing with Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations. Therefore, among the options provided, money laundering is the correct answer.
質問 # 159
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