event of major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
brokerage outside the Securities Exchange for any securities, a securities company shall operate and collect fees or service charges in accordance with the procedures as specified in the notification of the
and is subject to anti-money laundering and terrorist financing regulatory and oversight regime that is comparable to international standards accepted by the Office, e.g. Financial Action Task Force
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
the use of cryptographic controls and key management for protection of sensitive and critical information; (3) policy on the transfer of information within organization’s networks and with external
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
other party who is obliged to make payment for such goods at a given time in the future according to the amount and price as specified in the contract which is entered into outside the derivatives
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
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