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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Topic 2: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Topic 3: Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 4: Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Topic 5: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 6: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
1. A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
A) the market committee
B) the broker
C) the investor
D) the clearing member
2. Which of the following acts is considered to constitute the crime of money laundering?
A) Investigating or checking on the true nature, source or location of proceeds as well as the method involving their ownership
B) Acquiring, possessing or using proceeds from an unverified source
C) Investigating internal reports where concerns of illegal activities are raised by staff
D) Transferring or moving proceeds or conducting any transaction with the aim of highlighting or opening their source to scrutiny
3. What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
A) 30 barrels
B) 1,000 barrels
C) 100 barrels
D) 3 barrels
4. Which type of securities are subject to exchange crime prohibitions?
A) All tradeable financial instruments including crypto-assets
B) All tradeable financial instruments except crypto-assets
C) Company shares, bonds and derivatives
D) Company shares and bonds only
5. Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?
A) A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
B) A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
C) A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
D) A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: B | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: D |
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