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Title: Resolution No. (74) of 2018 Regarding Amendments of Module Seven (Clients’ Funds and Clients’ Assets) and Module Eleven (Dealing in Securities) and Module Sixteen (Anti- Money Laundering and Combating Financing Terrorism) of the Executive Bylaws of Law No. (7) of 2010
Date Publish 04 June 2018


 

Having Perused:

- Law No. (7) of 2010 Regarding the Establishment of the Capital Markets Authority and Regulating Securities Activities and their amendments; and

- Resolution No. (72) of 2015 Regarding the Issuance of the Executive Bylaws of Law No. (7) of 2010 on the Establishment of the Capital Markets Authority and Regulating Securities Activities and their amendments; and

- CMA Board of Commissioners Resolution passed in its meeting No. (17) of 2018 held on 16/05/2018;


The Following Was Resolved

Article (1)
Module Seven (Clients Funds and Clients Assets) and Module Sixteen (Anti-Money Laundering and Combating Financing Terrorism) of the Executive Bylaws of Law No. (7) of 2010 are hereby amended as shown in appendix No. (1) attached to this resolution.

Article (2)
Appendices No. (2) Regarding “Application Form for the Incorporation of a Special Purpose Vehicle Company” and No. (3) Regarding ”Application Form for a Shareholding Company to Purchase or Sell its own Shares” and Appendix 4 regarding “Application Form for Increasing the Capital of a Shareholding Company by Issuance of Preferred Shares” and Appendix 5 “Application Form for the Approval of a Preferred Shares Prospectus” and Appendix 6  regarding “Application Form for Issuance of Bonds” and Appendix 7 regarding “Application Form for Approval of Bonds Prospectus” and  Appendix 8 regarding “Application Form for Sukuk Issuance” and Appendix 9 regarding “Application Form for Approval of Sukuk Prospectus” and Appendix 12 regarding “Application Form for the Approval of the Agenda of the Meeting of Bondholders or Sukukholders Association” and Appendix 13 regarding “Application Form for Distribution of Bonus Shares of a Shareholding Company” and Appendix 14 regarding “Application Form for Reduction of the Capital of a Shareholding Company” and Appendix 15 regarding “Application Form for Capital Increase of a Shareholding Company by Issuance of Ordinary Shares” and Appendix 16 regarding “Application Form for the Approval of a Prospectus for Offering of Ordinary Shares” and Appendix 17 regarding “Application Form for Capital Restructuring of a Shareholding Company” and Appendix 18 regarding “Application Form for Employees Stock Options” of Module Eleven (Dealing in Securities) of the Executive Bylaws of law No. (7) of 2010 are hereby amended to be as shown in the attachment No. (2) of this resolution.

 

Article (3)
The concerned bodies shall execute this Resolution, each within its jurisdiction. This Resolution shall come into force from the date of its issuance, and any contradicting resolutions shall be canceled, and it shall be published in the Official Gazette.

 

Dr. Faisal A. Al Fahad

Acting Chairman and Managing Director

Issued on:03/06/2018

Copy of the Official Document

Disclaimer: The information provided on this page is for reference purposes only, visitors are encouraged to review and understand the information provided in the official scanned document attached in the link above (if available). The CMA endeavors to ensure that the information on this page is complete and accurate, but the CMA does not guarantee the quality, accuracy, or completeness of any content at any time. In the event the information on this page is different from the content in the official scanned document attached in the link (if available), the official scanned document attached shall take precedence.

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