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0sBoards and Committees of the Authority
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0sRight to Request Information, Supervision and Inspection
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0sJudicial Officers
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0sCrimes and Penalties
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0sInvestigation
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0sDisciplinary Penalties
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0sSecurities Exchanges
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0sClearing Agencies
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0sLicensed Securities Activities
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0sThe Sharia Supervisory System
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0sRegistered Persons
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0sPart Two: Registered Persons
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0sPolicies and Procedures for Licensed Persons
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0sRisk Management
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0sClients’ Complaints
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0sBusiness Continuity
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0sDefinitions and Requirements
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0sRules of Securities
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0sPart Two: Rules of Securities
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0sPart Three: Rules of Securities
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0sReporting Systems
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0sGeneral Requirements and Controls – Investment Portfolio Management
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0sDefault Events
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0sGeneral Provisions
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0sClient Categorization
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0sConflicts of Interest
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0sBest Execution of Client Orders
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0sClient Records
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0sFinancial Promotions
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0sInvestment Research
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0sMergers
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0sAcquisitions
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0sAcquisitions - Part Two
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0sObligations for Listed Companies and Exchanges
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0sDisclosure of Interests
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0sInsiders
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0sDisclosure of Material Information
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0sDisclosure of Material Information - Part Two
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0sIssuing and Offering Securities
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0sIssuing and Offering Securities - Part Two
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0sSubscription Procedures
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0sAllocation and Registration
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0sTrading in Securities
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0sRules of Sukuk
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0sRules of Bonds
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0sRules of Bonds - Part Two
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0sPreferred Shares
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0sPreferred Shares - Part Two
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0sTreasury Shares
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0sListing Applications
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0sListing Shares of Shareholding Companies
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0sListing Shares of Kuwaiti Companies in Exchanges outside the State of Kuwait
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0sDelisting of Shares of Shareholding Companies
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0sListing of Bonds and Sukuk
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0sListing of Local Funds’ Units
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0sGeneral Provisions
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0sFunds
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0sService Providers
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0sMarketing and Selling Units
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0sValuation, Subscription and Redemption
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0sRestrictions and Controls
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0sReporting Requirements
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0sUnit-holders Assembly and the Ending of a Fund
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0sContractual CISs
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0sInsider Trading
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0sFraud and Manipulation of the Exchange
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0sAnti-Money Laundering and Combating the Financing 165 of Terrorism (AML/CFT)
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0sAnti-Money Laundering and Combating the Financing 165 of Terrorism (AML/CFT) - Part Two
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0sClient Records
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0sSuspicious Transaction Reporting
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0sContinuing Obligations
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0sThe Role of Corporate Governance
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0sRegulatory Requirements
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0sConstructing a Balanced Board
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0sAppropriate Roles and Responsibilities
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0sSafeguarding the Integrity of Financial Reporting
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0sSound Systems of Risk Management and Internal Audit
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0sEthical Standards
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0sDisclosure and Transparency
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0sStakeholders
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0sKuwait Rules and Regulations Study Material
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4sAssessment
