Article 104: Power of the Authority to Suspend a Distributor
As published by the Capital Market Authority and read from the source by the regulation watch; reproduced verbatim, with attribution and a link to the source.
Article 104: Power of the Authority to Suspend a Distributor
The Authority shall have the power to suspend a distributor in relation to a particular foreign fund or to take any other measures it deems necessary in the event of:
1) the distributor ceasing to carry out activities of dealing or the activity of managing investments and operating funds or the activity of managing investments without notification to the Authority under the Capital Market Institutions Regulations;
2) the cancellation or suspension by the Authority of the distributor’s relevant authorisation(s);
3) a request by the distributor to the Authority to cancel its relevant authorisation;
4) the Authority considering it necessary for the protection of securities holders or maintenance of an orderly market;
5) the Authority believing that the distributor has failed, in a manner which the Authority considers material, to comply with the Capital Market Law and its Implementing Regulations; or
6) any other event determined by the Authority on reasonable grounds to be of sufficient significance.
Text read on · 2146ca3276a6
Paragraphs
Each paragraph has a page of its own, so a citation of one paragraph names it exactly.
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 Funds Regulations (English)Edition 11/2025
- 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.