CMA holds workshop on trading violations

22/09/2016 05:09 AST

The Saudi Capital Market Authority (CMA), represented by Market Institutions Deputy, conducted a workshop to highlight the violating acts in the Saudi Capital Market. It also explained the mechanism to monitor the trading in the capital market as well as the role of Authorized Person’s in this regard. The workshop was held last Tuesday at CMA’s Head Office and was attended by representatives from the Compliance and Brokerage departments of Authorized Persons (financial institutions licensed by CMA).

An introductory video on the CMA’s surveillance system SMARTS was presented with an explanation of the acts that violate the Capital Market Law and its implementing regulations. In addition, the workshop emphasized on the Authorized Person’s role in complying with the rules and regulations. It was an interactive and conductive session that covered technical 1and financial aspects.

The workshop is part of CMA’s efforts to achieve its strategic objective to protect investors by increasing the level of investment awareness as well as the level of compliance with the Capital Market Law and its implementing regulations. The Authority will conduct similar sessions and workshops for APs in the next two months.


Saudi Gazette

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