Overview
We advise local and international companies, investment banks, capital market institutions and other market participants on securities business and regulatory matters in the Kingdom of Saudi Arabia.
Our experience covers a broad range of securities activities, including dealing in securities, arranging securities transactions, custody, managing securities and providing securities advice. We assist clients with both establishing and conducting regulated activities and navigating the regulatory requirements that apply to their ongoing operations.
Our regulatory advice includes:
- Capital Market Authority (CMA) licensing and regulatory requirements
- Conduct of business and compliance
- Securities-related advertising and communications
- Outsourcing arrangements
- Periodic reporting and regulatory filings
- Client records and record-keeping requirements
- Fiduciary duties and client obligations
- Conflicts of interest
- Risk assessment and compliance frameworks
- Regulatory investigations and related matters
We combine capital markets, corporate, finance and regulatory expertise to provide practical advice on the legal and operational requirements applicable to securities businesses and their activities in the Kingdom.
