Examination and Assessment of Compliance with AML-CFT Requirements
AML-CFT Compliance service includes preparing a report by the external auditor including an assessment of the degree of compliance with all legislative determinants and requirements set forth in AML-CFT Law as well as the regulations issued by CMA in this regard. The report should be submitted to Capital Markets Authority no later than 1 March of every year.
Read MoreCapital Adequacy
Capital Adequacy Service includes issuing an AUP Report on Capital Adequacy by a CMA-registered auditor in accordance with the provisions set forth in Module 17 “Capital Adequacy Regulations for Licensed Persons” of the Executive Bylaws of Law No. 7 of 2010 regarding the Establishment of Capital Markets Authority and Regulating Securities Activities. The report should be submitted to the Capital Markets Authority within forty-five days from the end of the interim financial reporting period and ninety days from the end of the annual financial reporting period.
Read MoreSWIFT CSCF Assessment
SWIFT CSCF Assessment service includes preparing a report on the assessment of SWIFT CSCF compliance in accordance with SWIFT’s Customer Security Programme (CSP) to promote cybersecurity within the SWIFT user community.
Read MoreClients’ Funds and Assets
Clients’ Funds and Assets Service includes issuing an assurance report by a CMA-registered auditor on compliance with rules and provisions set forth in Module 7 “Clients’ Funds and Assets” of the Executive Bylaws of Law No. 7 of 2010 regarding the Establishment of Capital Markets Authority and Regulating Securities Activities. The report should be submitted to the Capital Markets Authority no later than the 01 March of every year in Arabic language.
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