ComAgents

a) Provisional Attachment of the Investment Account and Investment Portfolios, the lifting of such attachment, Disclosure of its Information, and execution thereon upon the Authority's Request:

1) Subject to the provisions of Article (30) of the Capital Market Law and Article (29) of the Capital Market Institutions Regulations, the capital market institution is not permitted to provisionally attach or disclose the information of any Investment Account or Investment Portfolio, unless requested by the Authority or a competent judicial authority through the Authority.

2) When the capital market institution receives a request from the Authority to disclose any information related to an Investment Account or Investment Portfolios associated therewith of any of its clients, the capital market institution must provide the Authority with the requested information, or inform the Authority that the requested information do not belong to a client of the capital market institution, in a maximum period of (3) business days, unless the Authority specifies otherwise.

3) Unless the Authority's request is specific, the capital market institution must disclose information of all of the client's Investment Accounts and Investment Portfolios associated therewith.

4) When the capital market institution receives a request from the Authority to disclose an Investment Account statement related to any of its clients, the capital market institution must provide the Authority with the requested Investment Account statement, containing, as a minimum, the required information stipulated in Annex (3) of these Instructions.

5) When the capital market institution provisionally attaches the Investment Accounts and Investment Portfolios associated therewith of a certain client at the Authority's request, the capital market institution must not allow that client to take any action in relation to the balances or assets of any attached Investment Accounts and Investment Portfolios, unless the Authority's request was to provisionally attach a specific amount, then the client shall be allowed to take action in respect of any amount exceeding the specified amount.

6) When the capital market institution receives a request from the Authority to provisionally attach the Investment Accounts and Investment Portfolios associated therewith of a client, the capital market institution must attach the Investment Account and immediately provide the Authority with information of the attached Investment Accounts and Investment Portfolios, or immediately inform the Authority that the Investment Accounts requested to be attached do not belong to a client of the capital market institution. ماع - Public

7) When an Investment Account is provisionally attached based on subparagraph (a-5) of this Article, the capital market institution must stop all money transfer and withdrawal transactions and must not allow the utilization of the Investment Account balance in any form.

8) The capital market institution must not remove the provisional attachment of any Investment Account or Investment Portfolios that was attached based on subparagraph (a-5) of this Article until the capital market institution receives a request from the Authority. When the capital market institution receives a request from the Authority to remove the provisional attachment of the investment accounts of a client, the capital market institution must immediately remove the attachment and immediately provide the Authority with information of the investment accounts of which the attachment was removed.

9) When the capital market institution receives a request from the Authority to execute upon the Investment Accounts or Investment Portfolios associated therewith of a client, the capital market institution must immediately initiate execution procedures and promptly provide the Authority with information regarding the Investment Accounts or Investment Portfolios on which execution has been carried out.

Text read on · cb83fc583562

History

Each time the regulation watch read the source and found these words changed, the earlier text was kept. Removed words are struck through, added words underlined.

No amendment has been seen since the platform first read these words on 2026-09-14.

Cited on the platform

Counts only: the platform's own baseline limits and catalogued duties that cite this reference. No firm's rulebook appears here.

Baseline limits
00 verified
Duties
00 verified

Source

The text is the Authority's, reproduced with attribution. The link opens the published document.

Published at
CMA — Investment Accounts Instructions (English)
Last read
first read

ComAgents — the regulator-facing accountability layer for CMA-regulated firms. The text of each article is the Authority's, reproduced with attribution and a link to the source.