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    • Vision
    • Institutional Values
    • CMA Objectives
    • Code Of Ethics
    • CMA Board of Commissioners
    • Employment
    • Chairman Message
    • Organizational Structure
  • Awareness
    • Suggestions
    • Publications
    • National Project
    • Events
    • List Of Licensed Companies
    • External Audit Offices
    • List Of Registered Auditors
    • Local and Gulf Unlicensed Entities
    • Persons Restricted from Practicing Securities Activities or Registered Positions and Employment Positions
    • Workshops
    • Facilitating the opening of investment accounts Initiative
    • CMA Radio
    • FAQ
  • Media Center
    • List of Investment Funds
    • List Of Agreements
    • CMA Gallery
    • Media Appearances
    • Press Releases
    • Kuwait's Exchange Privatization Journey
  • International Organizations
  • Fintech
    • Introduction to Financial Technology
    • Securities-based Crowdfunding
    • Digital Financial Advisory
    • Initial Implementation Phase
    • List of Companies Registered in the Fintech Services Register
    • Digital Library
    • Contact the Fintech Unit
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Executive Bylaws - CMA

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Executive Bylaws

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  • February 17
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2-12 Information that shall be Provided to Retail Client Of Module Eight: Conduct of Business
Section: Chapter Two: Client Categorisation
  • Sunday, 12 February 2017

    A Licensed Person shall provide Retail Client with the following information: 1. The name, address and contact details of the Licensed Person. 2. The language in which the Client may communicate with the Licensed Person and receive information and documents. 3. The methods of communication to be used between the Licensed Person and the Client. 4. A statement indicating if the Licensed Person works with the Client in its capacity as an agent of an entity, the name of such an entity and its contact details. 5. The nature and timing of the reports on the performance of the services to be provided by the Licensed Person to the Client. 6. A summary of the conflicts of interest policy used by the Licensed Person, and any other additional details requested by the Client in this regard.

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