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Kuwait Capital Markets Authority Rules and Regulations

Kuwait Capital Markets Authority Rules and Regulations


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Responsible Etatwir Admin
Last Update 02/16/2023
Duration 20 hours
    • Kuwait Capital Markets Authority Rules and Regulations
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    • The Capital Markets Authority
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    • Boards and Committees of the Authority
    • Right to Request Information, Supervision and Inspection
    • Judicial Officers
    • Crimes and Penalties
    • Reporting Violations and Crimes
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    • Investigation
    • Disciplinary Penalties
    • Securities Exchanges
    • Clearing Agencies
    • Licensed Securities Activities
    • The Sharia Supervisory System
    • Registered Persons
    • Part Two: Registered Persons
    • Policies and Procedures for Licensed Persons
    • Risk Management
    • Clients’ Complaints
    • Business Continuity
    • Definitions and Requirements
    • Rules of Securities
    • Part Two: Rules of Securities
    • Part Three: Rules of Securities
    • Reporting Systems
    • General Requirements and Controls – Investment Portfolio Management
    • Default Events
    • General Provisions
    • Client Categorization
    • Conflicts of Interest
    • Best Execution of Client Orders
    • Client Records
    • Financial Promotions
    • Investment Research
    • Mergers
    • Acquisitions
    • Acquisitions - Part Two
    • Obligations for Listed Companies and Exchanges
    • Disclosure of Interests
    • Insiders
    • Disclosure of Material Information
    • Disclosure of Material Information - Part Two
    • Issuing and Offering Securities
    • Issuing and Offering Securities - Part Two
    • Subscription Procedures
    • Allocation and Registration
    • Trading in Securities
    • Rules of Sukuk
    • Rules of Bonds
    • Rules of Bonds - Part Two
    • Preferred Shares
    • Preferred Shares - Part Two
    • Treasury Shares
    • Listing Applications
    • Listing Shares of Shareholding Companies
    • Listing Shares of Kuwaiti Companies in Exchanges outside the State of Kuwait
    • Delisting of Shares of Shareholding Companies
    • Listing of Bonds and Sukuk
    • Listing of Local Funds’ Units
    • General Provisions
    • Funds
    • Service Providers
    • Marketing and Selling Units
    • Valuation, Subscription and Redemption
    • Restrictions and Controls
    • Reporting Requirements
    • Unit-holders Assembly and the Ending of a Fund
    • Contractual CISs
    • Insider Trading
    • Fraud and Manipulation of the Exchange
    • Anti-Money Laundering and Combating the Financing 165 of Terrorism (AML/CFT)
    • Anti-Money Laundering and Combating the Financing 165 of Terrorism (AML/CFT) - Part Two
    • Client Records
    • Suspicious Transaction Reporting
    • Continuing Obligations
    • The Role of Corporate Governance
    • Regulatory Requirements
    • Constructing a Balanced Board
    • Appropriate Roles and Responsibilities
    • Safeguarding the Integrity of Financial Reporting
    • Sound Systems of Risk Management and Internal Audit
    • Ethical Standards
    • Disclosure and Transparency
    • Stakeholders
    • Kuwait Rules and Regulations Study Material
    • Assessment
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