Capital Market Institutions shall be obliged to notify the Authority of the following: 1. Any potential conflict of interest involving any member of the Board of Directors or the Executive Management. 2. Financial solvency risks affecting themselves or any of their members, or the inability of any of them to fulfil their obligations. 3. Breaches by any of their members or employees of this Decree by Law, the Relevant Legislation, or the controls of Capital Market Institutions. 4. Any penalty or action taken against their Authorized Employees or any of their members or employees regarding the performance of their duties pursuant to this Decree by Law and the Relevant Legislation. 5. The nature of confidential information and the persons authorized to access the same by virtue of or in connection with their work. 6. Information, data, and records required to be disclosed or made available to the public upon request by the Authority.
Interpretation and application must be checked against the official text and current version.