• Type of Information

    • MIE-1.2.2

      For the purpose of this Module, information includes:

      (a) Any books, records or registers required to be maintained by a capital market service provider (including members of SROs, listed companies and issuers of securities) and related parties under the CBB Law, rules and regulations and any other law, rules and regulations;
      (b) Information, books, records or documents known to or in the possession of a capital market service provider (including members of SROs, listed companies and issuers of securities) and related party;
      (c) [This Subparagraph has been deleted in July 2021];
      (d) [This Subparagraph has been deleted in July 2021]
      (e) Information, books, records or documents maintained by or known to or in the possession of any other relevant person.
      Amended: July 2021

    • MIE-1.2.3

      In this Module, a reference to disclosing information includes, in relation to information that is contained in a document, a reference to producing the document.

    • MIE-1.2.4

      As per Articles 111 and 112 of the CBB Law, the CBB may demand any information, documents, statistics or reports from any licensee, listed company or any person who has issued debt instruments in the Kingdom within a specified time.

      Amended: July 2021