CmaBylaw
Executive Bylaws
3-2-2 Of Module Five: Securities Activities and Registered Persons
Section: Chapter Three: Registered Persons
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Sunday, 05 February 2017
The following are Registered Employment Positions: 1. Chief Executive Officer. 2. Senior Executive. 3. Financial Manager. 4. Risk Management Officer. 5. Internal Audit Officer. 6. Sharia Audit Officer, for Persons Licensed to Operate in accordance with Islamic Sharia Principles. 7. Compliance Officer. 8. Representative of Securities Activities: a. Representative of a Securities Broker registered in a Securities Exchange. b. Representative of a Securities Broker not registered in a Securities Exchange. c. Representative of an Investment Advisor. d. Representative of an Investment Portfolio manager. e. Representative of a Collective Investment Scheme manager. f. Representative of a Custodian. g. Representative of an Investment Controller. h. Representative of a Subscription Agent. i. Representative of a Credit Rating Agency. j. Representative of a Market Maker. k. Representative of a Valuation of Assets. l. representative of a Qualified Securities Broker registered with an Exchange. 9. Any other Employment Positions that the Authority deems are Registered Employment Positions.
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