When is a person authorized to engage in securities activities in a major default situation? What are the procedures that the authorized person and the Capital Markets Authority should take in this case? The concept of defaults It is the…
What shall the securities companies do to maintain the confidentiality of their clients’ information available to them? The answer to this question is clarified by the team of capital and equity market lawyers at Al-Rashed, Al-Hadlaq and Al-Roudan Group for…
Is it permissible for the clearing agency to impose penalties on any of its members in the event of its non-compliance with the rules of the clearing agency? The answer to this question is explained by the team of capital…
Is it permissible for the clearing agency to terminate the membership of one of its members? This question is answered by a securities attorney at Al-Rashed, Al-Hadlaq and Al-Roudan Group Advocates and Legal Consultants. According to the rules of the…
What information should stock companies provide to their regular clients? The client in the securities activities sector is the person to whom the securities companies provide or intend to provide the services of securities activities they are licensed to practise.…
