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| Section | Weight | Objectives |
|---|---|---|
| Dubai Financial Market (DFM) | 11% | |
| Client Protection | 10% | |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Markets | 11% | - Disclosure and Transparency - General background |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Trading | 11% |
Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?
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What additional provision is made by the market in relation to trading in shares of public joint-stock companies that are in the second category of listing?
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Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
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As part of its obligations under the Authority regulations, a commodities CCP carries out periodic back tests.
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Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in- kind share transfer?
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