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 is the role of the assessing capital market institution ?
    When will the applicant becomes a QFI?
    What entity receives the investors’ complaints in CMA?
    Can a QFI delegate the foreign portfolio manager to process the application for qualification and sign the assessment agreement with the assessing capital market institution ?
    Can an assessing capital market institution rely on a third party to conduct Know Your Client "KYC" process?
    Are CRSD and ACRSC independent in their work?
    How can the applicant satisfy the qualification requirements, the client account opening requirements and the requirements for opening an account with the Depository Center?
    Should each QFI open a separate account in the Depositary Center?
    Who is the competent authority responsible for the resolution of disputes resulting from trading?
    Can a QFI send trading orders through an international broker that is not qualified as a foreign investor?
    Can a QFI establish a discretionary portfolio management (DPM) by a capital market institution?
    How securities are transferred from a Swap Agreement account to a QFI account?
    What are the costs of transferring securities from a Swap Agreement account to a QFI account?
    Does transferring securities from a Swap Agreement account to QFI account affect the market value of such securities?
    How long does it take to transfer securities from a Swap Agreement account to a QFI account?
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