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Capital Market Institutions Regulations - cma.org.sa
well as the rules and provisions governing the conduct of business, and to set the systems and controls as well as the provisions relating to client money and assets. Article 2: Definitions a. Any reference to the “Capital Market Law” in these Regulations shall mean the Capital Market Law issued by Royal Decree No. M/30 dated 2/6/1424H. b.
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KINGDOM OF SAUDI ARABIA Capital Market Authority …
cma.org.sareference of being guiding. c) Without prejudice to the provisions of these Regulations, laws and instructions of other supervisory authorities apply to companies that subject to them. Article 3: Objectives of the Regulations These Regulations aim at establishing an effective legal framework to govern the Company,
Prudential Rules - cma.org.sa
cma.org.saInternal Capital Adequacy Assessment Process or “ICAAP”: an internal process in which all the authorised person’s risks are identified and assessed, including risks not captured in Pillar 1 of these Rules. The process also includes capital planning. Capital Base: comprised of Tier-1 capital and Tier-2 capital.
KINGDOM OF SAUDI ARABIA Capital Market Authority ...
cma.org.sac. A capital market institution appointed under Paragraph (b) of this Article may be a custodian of the relevant investment fund. d. A capital market institution appointed under Paragraph (b) of this Article shall be responsible for the fund’s compliance with the provisions of the Capital Market Law and its Implementing Regulations. e.
KINGDOM OF SAUDI ARABIA Capital Market Authority …
cma.org.sa-Anti -Money Laundering Law: the Anti Money Laundering Law issued by Royal Decree No. M/20 dated 5/2/1439 H.-Application for Listing: means in the Rules on the Offer of Securities and Continuing Obligations, any application submitted to the Exchange to list securities of any type.
Kingdom of Saudi Arabia Capital Market Authority
cma.org.sa3- Saudi stock exchange (Tadawul) This is a Saudi joint-stock company called the “Saudi Stock Exchange (Tadawul)”. It has been es-tablished pursuant to the law and provisions of the Capital Market Law and companies law. The Saudi financial market board is composed of nine members appointed by a decision of the Coun-cil of Ministers.
Study Material - cma.org.sa
cma.org.sa9.1 Objective of the anti – money laundering (AML) and counter terrorism financing (CTF) rules 9.2 Definitions 9.3 General application of AML/CTF requirements 9.4 Application of policies and procedures to overseas branches and subsidiaries 9.5 Customer due diligence 9.5.1 Client evaluation 9.5.2 Client identification
Guide or Yf oung Investors
cma.org.saGuide or Yf oung Investors. Introduction Investing can be a satisfying way to increase your fortune and help you achieve your financial goals. However, it is essential to make wise investment choices and avoid risk, such as buying and selling stocks
Saudi Tadawul Group Holding Company Prospectus - …
cma.org.saRoad, Olaya District - Riyadh 12211, P.O. Box 60612, Kingdom of Saudi Arabia (the “King-dom”). The Company's current capital is one billion, two hundred million Saudi Riyals (SAR 1,200,000,000), divided into one hundred twenty million (120,000,000) fully paid shares of equal value with a nominal value of ten Saudi Riyals (SAR 10) per share.
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