Decision No. 38
A list of financial intermediaries duly registered issued by the CMA
Author: admin
Announcement No. 98
Delisting of Marshi & Partners S.A.L. on the list of Financial Intermediation Institutions
Announcement No. 96
Related to Informing the CMA of All the Institutions or Persons who are acting as Introducing Brokers
Decision No. 37
A list of financial intermediaries duly registered issued by the CMA
Announcement No. 87
Listing of Marshi & Partners S.A.L. on the list of Financial Intermediation Institutions
Law No. 260
Amendment of Law No. 75 dated 27/10/2016
Law No. 75
Canceling bearer shares and promissory notes
Announcement No. 79
De-Listing of Julius Baer (Lebanon) SAL from the List of Financial Intermediation Institutions
Decision No. 33
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 32
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 31
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 30
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 29
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 28
De-Listing of First Capital & Trust S.A.L. from the List of Financial Intermediation Institutions
Decision No. 26
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 25
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 24
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 23
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 22
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 21
BLOM Asset Management added to the list of Financial Intermediaries under number 22
Decision No. 20
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 19
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 18
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 17
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 16| Cancelled
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 15 | Cancelled
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 14 | Cancelled
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 13 | Cancelled
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 12| Cancelled
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 11
A list of financial intermediaries duly registered issued annually by the CMA
Decision No. 10
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 9
The purpose of this decision and the appendices enclosed herewith, is to create centralized information at the Capital Markets Authority in relation to assigned persons, persons under supervision and persons concerned, who exercise one of the organized duties related to the business of financial instruments in order to facilitate the duties of the Financial Control Unit concerning the commitment of all institutions and authorities which exercise business related to financial instruments in Lebanon for the account of its clients and/or for its own account
Decision No. 8
The purpose of this decision and the appendices enclosed herewith, is to create centralized information at the Capital Markets Authority in relation to assigned persons, persons under supervision and persons concerned, who exercise one of the organized duties related to the business of financial instruments in order to facilitate the duties of the Financial Control Unit concerning the commitment of all institutions and authorities which exercise business related to financial instruments in Lebanon for the account of its clients and/or for its own account
Decision No. 7
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 6
The Decision has been cancelled after conducting the appropriate amendments to the applicable relevant regulation(s).
Decision No. 5
Internal Audit department which certain Joint-stock companies must establish
Decision No. 4
Compliance Department which certain Joint Stock companies must establish
Decision No. 3
Setting the framework and rules of the work and establishment of "crowdfunding" companies in Lebanon
Decision No. 2
Disclosure of all the information that will enable shareholders to exercise their rights to the fullest in some companies and organizations operating in Lebanon.
Decision No. 1
Disclosure Policy required by some companies and organizations working in Lebanon in order to ensure compliance with the best practices of governance.
Law No. 161
Capital Markets Law
Law No. 160
Prohibiting insider trading made on the basis of material non-public information
Law No. 706
Collective Investment Schemes in Securities and Other Financial Instruments
Law No. 705
Asset Securitization Law
Law No. 234
Regulating the Financial Intermediation Profession
GLOSSARY – CMA Regulations DRAFT
This Glossary sets out the definitions of the defined terms used in the implementing regulations issued by the Authority.
Licensing and Registration Regulation
This regulation aims to regulate the conduct of trading in the securities markets and set out the details of the prohibitions on insider trading and the prohibitions on market manipulation. The regulation also aims to cover the obligations of approved institutions when trading in the markets, as principal, and for clients. It also establishes the categories of Registered functions required to carry on securities business in Lebanon, and establishes the categories of registration required by Persons to carry out designated functions and activities on behalf of an approved institution. It also identify exemptions for performing regulated functions and provides the required applications for approval by CMA
Business Conduct Regulation
This regulation aims to establish the rules and code of conduct that an approved institution must comply with in carrying out securities business and dealing with clients. It also defines the policies and procedures, systems and controls that an approved institution must establish and implement. The regulation also sets out the rules on how to handle client money and client assets.
Market Conduct Regulation
This regulation aims to regulate the conduct of trading in the securities markets, and set out the details of the prohibitions on insider trading and the prohibitions on market manipulation. The regulation also aims to cover the obligations of approved institutions when trading in the markets, as principal and for clients.
Offers of Securities Regulation
This regulation aims at outlining the requirements related to offers of securities in Lebanon and determining the types of offers that are exempted from the imposed requirements on the public offer as well as setting the requirements for an exempted offer of securities
Draft Regulation on Listing Rules
This regulation aims at outlining the necessary requirements for the issuer to list financial instruments in Lebanon and determines the requirements for maintaining this listing and for maintaining sound foundations for corporate governance by the listed issuers
Collective Investment Schemes Regulation
This Regulation covers the establishment and operation of collective investment schemes including Islamic schemes in Lebanon under Law 706 of December 2005. It does not cover the use of CIS for securitization under Law 705.
Announcement No. 62
Related to amendment to the Implementing Regulation Business Conduct Series 3000
Announcement No. 61
Related to the Implementing Regulation Licensing and Registration Series 2000
Announcement No. 60
Related to amendment to the Implementing Regulation Business Conduct Series 3000
Announcement No. 59
Listing of Excillis Trading S.A.L. on the List of Financial Intermediation Institutions
Announcement No. 58
Listing of Shenandoah Consulting S.A.L. on the List of Financial Intermediation Institutions
Announcement No. 57
Listing of Valpre Capital S.A.L. on the List of Financial Intermediation Institutions
Announcement No. 56
Related to amendment to the Implementing Regulation Licensing and Registration Series 2000
Announcement No. 55
Related to amendment to the Implementing Regulation Business Conduct Series 3000
Announcement No. 54
Related to amendment to the Implementing Regulation Business Conduct Series 3000 and the Implementing Regulation Licensing and Registration Series 2000
Announcement No. 53
Related to the cancellation of Decision No. 1 dating 11 June 2013, Decision No. 2 dating 11 June 2013, Decision No. 8 dating 27 December 2013, Decision No. 9 dating 27 December 2013
Announcement No. 52
De-Listing of Premium Capital Group SAL from the List of Financial Intermediation Institutions
Announcement No. 51
Announcement No. 50
Listing of Saradar Family Office (SFO) SAL on the List of Financial Intermediation Institutions
Announcement No. 49
Listing of HSBC Financial Services (Lebanon) SAL on the List of Financial Intermediation Institutions
Announcement No. 48
Amendment of Announcement 41 dating 20 June 2018 and to the Implementing Regulation Licensing and Registration Series 2000
Announcement No. 47
De-Listing of Aksys Capital SAL from the List of Financial Intermediation Institutions
Announcement No. 46
De-Listing of Berytus Capital SAL from the List of Financial Intermediation Institutions
Announcement No. 45
Listing of Amana Capital SAL on the List of Financial Intermediation Institutions
Announcement No. 44
Listing of Capital EE SAL on the List of Financial Intermediation Institutions
Announcement No. 43
Amendment to the Implementing Regulation Licensing and Registration Series 2000
Announcement No. 42
Directed to Banks, Financial Institutions and Financial Intermediation Institutions
Announcement No. 41
Amendment to the Implementing Regulation Licensing and Registration Series 2000
Announcement No. 40
Amendment to the Implementing Regulation Business Conduct Series 3000 and Announcement number 34 dated 29 May 2018
Announcement No. 39
Amendment to the Implementing Regulation Market Conduct Series 4000
Announcement No. 38
Listing of RM Private Wealth Management SAL on the List of Financial Intermediation Institutions
Announcement No. 37
Related to the Reporting of Financial Statements
Announcement No. 36
Directed to Banks, Specialized Banks, Financial Institutions and Financial Intermediary Institutions
Announcement No. 35
Amendment to the Implementing Regualtion Licensing and Registration Series 2000
Announcement No. 34
Amendment to the Implementing Regulation Business Conduct Series 3000
Announcement No. 33
Amendment of Business Conduct Regulation Series 3000
Announcement No. 32
Related to the amendement of Offers of Securities Series 6000
Announcement No. 31
Related to the amendment of Announcement 28 dated 14 December 2017 directed at Financial Intermediary Institutions
Announcement No. 30
Related to Prohibition of Electronic Money
Announcement No. 29
Amendment of the Implementing Regulation Licensing & Registration Series 2000 and the cancellation of Decision No. 10 dated 9 January 2014 (relating to the Financial Intermediation Institutions), Decision No. 7 dated 3 December 2013 (relating to the Licensing Documents),
Announcement No. 28
Related to existing financial intermediary institutions
Announcement No. 27
Related to the amendment of the Implementing Regulation Offer of Securities Series 6000 and the cancellation of Deceision No. 13 dated 10 February 2014 relating to Asset Securitization
Announcement No. 26
Related to the Cancellation of Decision No. 16 dated 27 November 2014 on financial instruments and products, and the use of Series 6000 on Offers of Securities.
Announcement No. 25
Related to amendments on the Licensing & Registration Series 2000, and the cancellation of CMA Decison 24 on Qualification requirements for dealing in securities business.
Announcement No. 24
Amendment to the Implementing Regulation Business Conduct Series 3000 and the Cancellation of Decision No. 12 dated 10 February 2014 (relating to the Regulations on Financial Derivative Transactions) and Decision No. 23 of 12 January 2017 (relating to the Account Segregation and Custody Services), Decision No. 17 of 9 March 2015 (relating to the "KYC" (Know Your Customer) model), Decision No. 18 of 31 August 2015 (relating to the Auditors) an Decision No. 20 of 22 February 2016 (relating to the Filing a Complaint)
Announcement No. 23
Amendment of Implementing Regulation Series 4000 "Market Conduct", and Cancellation of CMA Decision 22 dating 9 August 2016 (Price Manipulation) and CMA Decision 6 dating 20 October 2013 (Insider Trading)
Announcement No. 22
Related to the Application of the Implementing Regulations issued by the Authority
Announcement No. 21
Amendment of Decision 14 dating 10 February 2014
Announcement No. 20
Amendment of Decision 10
Announcement No. 19
Amendment of Decision 10
Announcement No. 18
Amendment of Decisions 4,5,13
Announcement No. 17
Amendment of Decision 12
Announcement No. 16
Amendment of Decision 12
Announcement No. 14
Amendment of Decision 12
Announcement No. 13
Amendment of Decision 5 dating 13 February 2014
Announcement No. 12
Amendment of Decision 4 dating 14 August 2013
Announcement No. 11
Amendment of Decision 13 dating 10 February 2014
Announcement No. 10
Amendment of Decision 11 dating 9 January 2014
Announcement No. 9 | Cancelled
The Announcement has been cancelled after conducting the appropriate amendments and replaced by Announcement 78
Announcement No. 8
Amendment of Decision 16 dating 13 February 2014
Announcement No. 7
Financial Instruments related to Insurance Contracts
Announcement No. 6
Commitment of Disclosure
Announcement No. 4
Amendment of Decision 10
Announcement No. 3
Amendment of Decision 14
Announcement No. 2 | Cancelled
The Announcement has been cancelled after conducting the appropriate amendments and replaced by Announcement 78
Announcement No.1
The Establishment of the Board of the Capital Markets Authority