A regional manager asks whether the CMA could open a branch office in Ras Al Khaimah to serve firms in the northern emirates. Under Federal Decree-Law No. 32 of 2025, how are CMA branches established within the State?
A new investment manager receives the CMA's approval letter. Under Federal Decree-Law No. 33 of 2025, which detail must the written notification of approval include?
A licensed broker cannot reach a dormant client by email or phone, the means agreed in his client agreement. Under the CMA Rulebook (Section 3), how may it give the inactivity notice?
After its Pillar II review, the CMA is concerned about a broker's risk profile. Under the CMA Rulebook (Section 4), which measure may the CMA require?
A closed-end fund has a general assembly approval to buy back units. A broker offers a block in a private deal off the market. Under Resolution No. (01/Chairman) of 2023, may the fund buy the block that way?
A market has collected several financial penalties from members during the year and must decide how the money is used. Under Federal Decree-Law No. 33 of 2025, who determines the manner in which such penalties are allocated?
A request to use funds frozen under a Local List is rejected. Under Cabinet Decision No. 74 of 2020, within what period may the applicant file a grievance before the Competent Court?
A virtual asset trading desk operates from an onshore free zone (one not governed by the financial free zones law). Under Federal Decree-Law No. 33 of 2025, does the CMA supervise its virtual asset trading?
A brokerage's compliance officer asks whether anti-money laundering work is part of his role or belongs to another post. Under the CMA Rulebook (Section 2), what does the compliance officer's task description include?
A licensed broker discovers it cannot reconcile its clients' cash balances and will not be able to settle them in time. Under the CMA Rulebook (Section 3), what must it do?
