المادة 16(a): Instruction on the Attachment of Investment Accounts and Removing the Attachment of
كما نشرتها هيئة السوق المالية وقرأها رصد اللوائح من المصدر؛ مُعادة حرفيًا، مع النسبة ورابط إلى المصدر.
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.
قُرئ النص في · cb83fc583562
السجل الزمني
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المصدر
النص نص الهيئة، مُعاد مع النسبة. يفتح الرابط المستند المنشور.
- نُشر في
- CMA — Investment Accounts Instructions (English)
- آخر قراءة
- القراءة الأولى
ComAgents — طبقة المساءلة أمام الجهة التنظيمية للمنشآت الخاضعة لهيئة السوق المالية. نص كل مادة هو نص الهيئة، مُعاد مع النسبة ورابط إلى المصدر.