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.


    How long does it take to transfer securities from a Swap Agreement account to a QFI account?
    Can a QFI be the Foreign Counterparty under a Swap Agreements Framework?
    Who is responsible of complying with the investment limits and disclosure requirements when the QFI engages with foreign portfolio manager?
    Is there a special notification form with regards to the ownership in listed companies?
    Can a QFI become a client of another capital market institution for the purpose of investing in listed securities?
    Can QFIs receive financing from local banks to fund their investments?
    Does the CMA's approval on the fund's terms and conditions constitute an exemption to the fund manager from complying with the provisions of the relevant Law and implementing regulations?
    Will exempting a fund manager from some provisions of the Regulation by the CMA result in exempting the fund manager of complying with the fund's terms and conditions before the unitholders?
    In light of the requirements of Article Forty-Eight of the Regulatory Rules and Procedures issued pursuant to the Companies Law relating to Listed Joint Stock Companies, is there a specific form of power to attend public and private assemblies and vote on
    Who are the addresses in the Capital Market Institutions Regulations? What are its objectives?
    What does carrying out securities business means?
    Is it required to obtain an authorisation for the management activity to offer investment fund units incorporated outside Saudi Arabia?
    In case the applicant is under establishment, in what capacity shall the application for the authorization be submitted to the Authority?
    When does the applicant subject to the provisions of the Authorised Persons Regulation?
    Does an authorised person have to comply with the provisions set forth in the Authorised Persons Regulation?
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