Notice to Raise the Awareness of Investors

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the investors in securities to make sure that their dealings in securities are carried out by a person authorized by the CMA, and to be cautious and not deal with persons not authorised, whether individuals or institutions, as they are not permitted to collect money or provide any services or products related to securities in the Kingdom, including dealing in securities, managing securities in circumstances involving the exercise of discretion, introducing parties in relation to securities business, advising on corporate finance business or otherwise acting to bring about a deal in a security transaction, advising a person on the merits of a security or exercising any right to deal conferred by a security, etc.

 

 

like investors to be aware that any contractual agreements which result in the practice of securities business by a person not authorized by the CMA to conduct such business in the Kingdom are considered to be void.

 

 

where investors are approached by a party that claims to be a person authorised by the CMA, or an individual who claims that he/she represents an Authorised Person, investors can verify the identity of such party or individual with the CMA. Moreover, the list of persons authorised by the CMA to conduct securities business in the Kingdom can be found on the CMA’s website through the following link: www.cma.org.sa

 

 

investors to immediately report to the CMA any securities business carried out by a person not authorized by the CMA to conduct such business. To report such cases, or for any other complaints or inquiries in this regard, investors may contact the CMA on its Toll Free number: 8002451111.