Listed Companies & Investment Products Deputy

​The Listed Companies & Investment Products Deputy contributes to achieving the CMA’s Policy Objectives of (a) fair investor outcomes, (b) market integrity, and (c) financial stability by controlling the offering of securities and Collective Investment Schemes (among other products) and providing ongoing supervision

  • Assisting in creating an enabling the regulatory environment for the development of the securities markets
  • Assisting in the formulation, development and implementation of effective regulatory framework for the Collective Investment Schemes and vehicles industry in KSA
  • Assisting in the development of Regulations relating to the offering of securities
  • Managing all applications for securities offerings made by all companies
  • Managing applications submitted by companies regarding M&A activity
  • Managing all applications made regarding the introduction of new Collective Investment Schemes to the Saudi
  • Market in line with Investment Funds Regulations
  • Supervising all company disclosures and announcements ensuring their compliance with applicable Regulations
  • Overseeing all Collective Investment Scheme activity, ensuring compliance with applicable Regulations
  • Reporting to the Board on the Deputy's activities and achievements and the implementation status of Board decisions
  • Advising upon request in the area of Islamic finance frameworks or products
  • Advising the Board in preparation of Board decisions related to the Deputy's mandate
  • Contributing to identifying and managing risks to policy objectives (arising from external or internal factors), and escalating as needed
  • Synthesizing gathered intel and subsequently feeding suggestions for areas of policy development to Regulatory Policy Development function

The deputy contains 6 departments:

  • Offering & Merger & Acquisition
  • Financial Statements
  • Corporate Governance
  • Investment Products Issuance
  • Investment Products Compliance
  • Investment Products Development