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

Title

What is the process to submit a waiver from any of the provisions of the Rules in whole or in part?

How securities are transferred from a Swap Agreement account to a QFI account?

Should the foreign portfolio manager meet the conditions set out in paragraph (a) of Article 7 of the Rules when managing the QFI assets in listed securities?

What is the following procedure after the elapse of twelve months of opening a qualified foreign investor account while retaining ultimate beneficiary swap account?

Who is the competent authority responsible for the resolution of disputes resulting from trading?

What are the consequences for non-compliance of qualified foreign investor with the ownership limits in listed companies stipulated in the Rules?

Is it required that the terms of a business agreement to be signed between the capital market institution and the qualified foreign investor?

How can the information on ownership limits in listed companies stipulated in the Rules be obtained?

Is the foreign investor required to provide the Exchange with notifications regarding their ownership in listed companies?

Is an ultimate beneficiary of legal personality in a swap agreement with a capital market institution entitled to participate in the Book building regulated pursuant to the Instructions of Book Building Process and Allocation Method in Initial Public Offe

Can foreign investor invests in listed derivatives?

Can foreign investor subscribe in Initial Public Offerings (IPOs)?

Can foreign investor nominate representatives for the board of directors of listed companies?

Can GCC citizens invest in listed securities through the Rules for Foreign Investment in Securities?

How do the Rules define GCC citizens?

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