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FAQs for Implementing Regulations

The content of this page shall not prejudice the provisions of the Capital Market Law, the Companies Law, their Implementing Regulations or other relevant laws. The content of this page shall not be considered an alternative to the provisions of the Capital Market Law, the Companies Law, or their Implementing Regulations. In the event of any conflict between the content of this page and the provisions of the Capital Market Law, the Companies Law, or their Implementing Regulations, those Laws and Regulations shall prevail. And as the Implementing Regulations issued by the CMA are subject to constant update, reliance shall be always on the Regulations published on CMA's website.

 

    Category
    Title
    Can the returns of the investment fund that targets community service activities be directed to more than one beneficiary entity?
    Is the inconsistency of the transaction risks with the client's risk tolerance disclosed in the “Know Your Client Form” considered a violation of the provisions of Article 43 of the Capital Market Institutions Regulations?
    In the event that there is an attorney-in-fact or authorised signatory to open or operate an investment account for the client, does the capital market institution consider the suitability of the advice or transaction - in accordance with Article 43 of th
    What does the term “senior executives and departments managers; directly related to securities business” mean?
    Do the provisions of Article 33 of the Capital Market Institutions Regulations apply to the announcements required to be published by the Capital Market Institution under the Capital Market Law and its implementing regulations?
    Is it optional for a Capital Market Institutions to obtain the information required under Annex (5.3) (b) of the Capital Market Institutions Regulations?
    Can a capital market institution provide advice in financial planning and in wealth management - in non-securities - in accordance with paragraph (e) of Article 10 of the Capital Market Institutions Regulations?
    What are the countries that apply supervisory and regulatory standards equivalent to those of the Authority or acceptable to it?
    What is meant by the independent member mentioned in Part (4) of the Corporate Governance Regulations for the Company's Committees and their Formation?
    Shall the invitation to the Ordinary General Assembly called by the Board of Directors, upon the request of the auditor or the audit committee or a number of shareholders holding shares equal to at least (10%) of the company’s shares that have voting righ
    Is it permissible for the number of independent members of the Board of Directors to be less than two or one-third of the Board members, whichever is greater?
    Is the company required to notify the Exchange of its transactions related to its shares buy-back in the Exchange?
    Can the Authority request additional requirements for applications to increase capital by way of a Rights Issue?
    Is the chairman of the Shareholders' General Assembly required to announce the results of the assembly to the attending shareholders before the end of the assembly meeting?
    Who is responsible for the notarization of the By-laws of the special purposes entity?
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FAQs for Implementing Regulations
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