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 does exiting of FinTech companies’ owners mean?
    Is it permissible for the Capital Market Institution to open an investment account for a foreign natural person not residing in the Kingdom or a foreign legal person?
    How to determine the entities accepted by the Authority stipulated in Sub-paragraph (f) of Paragraph (2) of Article (8) of the Rules for Registering Auditors of Entities Subject to the Authority's Supervision?
    What is the purpose of the Regulation on the Reporting of Violations of the Capital Market Law?
    What are the reporting channels?
    What is the required information to be provided in the report?
    What are the conditions for granting the reward?
    How is the amount of the reward determined, and the percentage of entitlement in case of more than one Reporting Individual?
    How can the Reporting Individual be protected from the consequences of his report?
    How does the accounting firm satisfy the registration condition for indemnity insurance stipulated in subparagraph (b) of paragraph (2) of Article (7) of Rules for Registering Auditors of Entities Subject to the Authority's Supervision?
    Does the capital market institution have to obtain from its client (a Saudi company or a company from GCC Member States) the Board of Directors' or partners' resolution regarding the approval of opening the investment account and assigning the authorise
    Is it permissible for any of the committees required to be formed by the company in accordance with the Corporate Governance Regulations (Audit Committee, Nomination Committee, Remuneration Committee) to perform the competencies of the committees stated i
    Are there specific percentages for the allocation of shares for public funds and retail subscribers in the initial public offerings? And when it is determined?
    Can arbitration be used as a means to adjudicate disputes arising from or because of investing in the private funds? For example, A fund manager resorts to arbitration when a dispute arises between the fund manager and unitholders in the private fund, in
    Can a capital market institution authorized to carry out arranging activity keep client's money in the course of carrying out securities crowdfunding?
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