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
    Dose the Capital Market Institution -licensed in carrying out securities business- have to work in accordance with certain principles or obligations?
    Is there any required paid up capital when for carrying on securities business?
    Where is the management and head office of the Capital Market Institution required to be in?
    What are the registerable functions? Who prescribes them?
    What does Securities Business mean?
    What does Dealing activity mean?
    What does Arranging activity mean?
    What does Carry out Securities Business means?
    When is a person considered carrying out securities business in the Kingdom?
    Does carrying out a Securities business in the Kingdom need an authorization?
    Are there any securities business activities do not require an authorisation from the Authority?
    Is a person excluded from the authorisation when dealing in securities that is not a contractually based security as a principal?
    Who are the addresses in the Prudential Rules?
    What is the purpose of these Prudential Rules?
    What is the capital base?
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