Capital Markets & Securities

Scope of service

The final scope is confirmed after reviewing the facts, documents, jurisdiction, and applicable deadlines.

Classify the issuer, instrument, offer, investor group, venue, intermediary, marketing route, transfer, and related activity to identify licensing, approval, filing, listing, and selling restrictions.

Structure equity, debt, sukuk, fund, private-placement, rights, employee-plan, securitization, or other transactions with advisers responsible for valuation, accounting, tax, custody, settlement, and distribution.

Draft and review prospectuses, information memoranda, subscription and underwriting documents, investor representations, board and shareholder approvals, material contracts, and closing deliverables.

Create an evidence-based disclosure process for financial and non-financial information, material events, related parties, beneficial ownership, conflicts, risk factors, forecasts, and use of proceeds.

Support listing, continuing-listing, governance, insider-information, trading, tender-offer, acquisition, lock-up, transfer, and market-conduct requirements under the rules applicable at the relevant time.

Manage FRA, exchange, depositary, custodian, and other authority submissions, questions, inspections, remediation, investor complaints, suspension risks, and contentious regulatory matters.

Typical documents

Review can begin with available records; additional documents may be requested for the matter.

Issuer articles, registers, ownership, governance, and corporate approvals
Audited financials, valuations, forecasts, and due-diligence materials
Instrument terms, prospectus, information memorandum, and subscription documents
Material contracts, licences, disputes, related-party, and beneficial-owner records
Listing, depositary, custody, underwriting, settlement, and distribution agreements
FRA, exchange, investor, inspection, disclosure, and market-announcement records

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Legal framework and official references

Authoritative references defining the service’s general framework. The official Arabic text, later amendments, and matter-specific rules remain controlling.

Sources checked 6 September 2026

Capital Market Law No. 95 of 1992, as amendedThe central statutory framework for securities and capital-market activity, including issuance, offering, trading, funds, regulated participants, disclosure, supervision, and enforcement.FRA Law No. 10 of 2009, as amendedEstablishes the Financial Regulatory Authority and its supervisory and regulatory remit over capital markets and other non-bank financial markets and instruments.FRA capital-market regulations and current listing rulesThe official regulatory library contains the current versions of listing and delisting, offering, licensing, trading, disclosure, and other implementing decisions that supplement the statute and regulations.