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08
Setting Up a New Investment Management Platform
Legal Steps, Governance, and Operational Readiness
This module provides a practical guide to setting up a new investment management platform in Saudi Arabia. It covers the legal steps to establish a platform through MISA and CMA, governance and operational readiness requirements, and aligning internal policies with CMA's Capital Market Institutions Regulations (CMIR).
Learning Outcomes
1
Outline the legal steps to establish a platform through MISA and CMA.
2
Understand governance and operational readiness requirements.
3
Align internal policies with CMA's Capital Market Institutions Regulations (CMIR).
Key Regulations
| Regulation | Relevance |
|---|---|
| MISA Foreign Investment Regulations | Foreign investor establishment requirements |
| Capital Market Institutions Regulations (CMIR) | Licensing requirements and governance standards |
| Capital Market Institutions Regulations (CMIR) | Operational and governance requirements for CMIs |
| Companies Law | Corporate formation and governance requirements |