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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Topic 2: Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| Topic 3: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Topic 4: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Topic 5: Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Topic 6: Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Topic 7: Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
1. The approved job for conducting securities dealing is:
A) Category Manager
B) Operations Manager
C) Trading Manager
D) Broker Representative
2. Membership of an Authority regulated market is obligatory for which of the following entities?
A) Licensed brokers
B) Listed joint-stock companies and licensed brokers
C) Listed joint-stock companies, licensed brokers and other listed entities
D) Listed joint-stock companies, licensed brokers and any other type of business entity
3. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
A) Corporate planning
B) Promotion
C) Risk management
D) Analysis
4. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
A) are employed to deal with clients or on their behalf
B) are employed to operate an electronic trading or clearing system
C) are on full-time or substantial part-time contracts
D) are new to the company or the industry
5. Why would a transaction to purchase securities be declared null and void?
A) It was the result of a rumour being spread
B) The Authority has levied a penalty for delay of payment
C) The individual is a former employee
D) The investor has a conviction of an offence of dishonour
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: C | Question # 3 Answer: C | Question # 4 Answer: A | Question # 5 Answer: A |
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