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
    What should you do before filing a complaint with CRSD?
    Who will receive the complaint or pleading?
    Can CRSD’s decisions be appealed?
    Is there a specific time period for depositing the appeal?
    What are the necessary requirements for filing an appeal?
    What are the decisions that are passed by ACRSC?
    What is Prudential?
    How is it important to follow up on the prudential of the authorized person?
    How can I be sure that the authorized person I deal with has a strong financial position that ensures its continuity?
    Is it possible that I might lose my money and portfolio as a result of the authorized person’s lack of financial sufficiency?
    What are the responsibilities of the Authorisation Department in CMA?
    Under what circumstances do I require a license from CMA?
    What does “Implementing Regulations” mean?
    Where can I find the Implementing Regulations of the Capital Market Authority?
    Are there any CMA qualification examinations required from Registrable functions?
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