Back to All Modules
08
Nominee Structures in Investment Management
Legal Framework, Ownership, and Custody
This module examines nominee structures in investment management. It covers the structure and purpose of nominee arrangements, legal protection for beneficial owners, custodian oversight and segregation of client assets, and disclosure duties under CMA regulations.
Learning Outcomes
1
Understand how nominee accounts function under Saudi regulations.
2
Differentiate between legal and beneficial ownership.
3
Identify transparency and custody requirements.
Key Regulations
| Regulation | Relevance |
|---|---|
| Authorised Persons Regulations (APR) | Custody and nominee arrangement requirements |
| Capital Market Institutions Regulations (CMIR) | Custodian obligations and client asset protection |
| Securities Depository Center (Edaa) Rules | Registration and settlement of securities |
| Market Conduct Regulations | Disclosure of beneficial ownership |