Home └Kuwait Capital Markets Authority Rules and Regulations
Kuwait Capital Markets Authority Rules and Regulations

Kuwait Capital Markets Authority Rules and Regulations


47.50 KWD
47.5 KWD 95.00 KWD
95.00 KWD
Add to Cart
Responsible Etatwir Admin
Last Update 02/16/2023
Duration 20 hours
    • Kuwait Capital Markets Authority Rules and Regulations
      Free Preview
    • The Capital Markets Authority
      Free Preview
    • Boards and Committees of the Authority
    • Right to Request Information, Supervision and Inspection
    • Judicial Officers
    • Crimes and Penalties
    • Reporting Violations and Crimes
      Free Preview
    • 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
      10 xp
whatsapp