representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
requires a knowledgeable, capable and responsible person to perform. The Notifications of the Securities and Exchange Commission, the Notifications of the Capital Market Supervisory Board and the
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
knowledgeable, capable or experienced and who are beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an
at a lower fee. This is a temporary measure to promote more entries of knowledgeable and skilled auditors into the capital market. Interested auditors are welcome to apply for approval as capital
regulations specified by the SEC and arrange for IT security audit and a penetration test by a knowledgeable and skilled auditor who is independent from the responsible IT Unit before commencing service
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The SEC probed into the
The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit evidence