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.


    What are the trading conducts that violate the law ?
    What role does the Capital Market Authority have in the rise and decline of the market?
    Does the fact that I am unaware of CMA’s regulations and instructions exempts me from questioning?
    What entity receives the investors’ complaints in CMA?
    What is CMA’s role in following up on the companies’ results and financial reports?
    what is the role of the shareholders in keeping up with the decisions made by companies’ board of directors as well as the performance of the executive management?
    If I traded some company’s stocks based on material information that I got from inside the company, would I be violating the law?
    I am a small investor that works until 2:30 p.m. and I trade from home through the internet so all my trading operations are approximately at the end of the trading period. Am I considered in this case trying to affect the closing price ?
    Am I allowed to do one of the Securities Activities although I have my own business?
    Is marketing and encouraging others to invest in Capital Markets outside KSA and collecting money from them considered a violation?
    How can I report or complain about an electronic violation done through internet websites, forums, text messages, audio-visual media or any other related electronic mean?
    What are the Sanctions and Penalties for Violations which are mentioned in the Capital Market Law?
    Who has the right to file a compensation suit (private right) for the losses the investors incurred as a result to the accused committing the violation?
    Did the Law consist of specific limit periods for the right to file compensations suits (An individual right) related to the violations?
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