APs Report Q2 2021 en

Capital Market Institutions Report
Fifteenth Issue -Second Quarter of 2021
Data and Statistics Unit’s
Data Management Office
Strategy & International Affairs Deputy’s
‫ عام‬Public :Classification
Table (1): Indicators of Workforce at Capital Market Institutions 3
Table (2): Capital Adequacy For Capital Market Institutions Licensed in Dealing, Managing or/and Custody 8
Table (3): Trading values Per Broker ( Capital Market Institutions Licensed in Dealing as an Agent) 11
Table (4): Asset Under Management(AUM) Per Capital Market Institution (Public, Private Funds and
13
Discretionary Portfolio Management (DPM))
Table (5): Complaints rate Deposited to CMA against Capital Market Institutions 16
Table (6): Processed / Settled Complaints Against Capital Market Institutions as a Percentage of Total
18
Complaints Filed with CMA
Table (7): The Availability Rate of the Connection Service Between Capital Market Institutions and
21
Tadawul
Table (8): The Availability Rate Of The Connection Service Capital Market Institutions and Their Clients 23
Table (9): Number of Public and Private Funds per Capital Market Institution 24
2
Table (1): Indicators of Workforce at Capital Market Institutions
Quarter 2 Quarter 3 Quarter 4 Quarter 1 Quarter 2
2020 2020 2020 2021 2021
Saudization
Saudization
Saudization
Saudization
Saudization
# Capital Market Institutions
Number
Number
Number
Number
Number
%
%
1 Merak Capital Company 3 100% 5 100% 5 100% 8 100% 11 100%
Raed Advanced Investments

2 4 75% 4 75% 4 75% 4 75% 4 100%
Company
3 Joa Capital Company NA NA NA NA NA NA 0% 0% 1 100%
4 Razeen Financial Company NA NA NA NA NA NA 0% 0% 4 100%
5 Alinma Investment Company 127 96% 131 96% 135 96% 144 95% 147 95%
SAMBA Capital & Investment

6 182 90% 188 90% 195 89% 196 88% 166 91%
Management Company
7 Al Rajhi Capital 216 86% 220 88% 217 88% 213 90% 212 90%
8 Arch Capital NA NA NA NA 1 100% 3 67% 9 89%
9 Riyad Capital Company 280 85% 273 86% 282 86% 286 86% 275 88%
The Family Office International

10 9 100% 10 90% 12 92% 17 88% 17 88%
Investment Company
11 NCB Capital Company 273 79% 278 79% 274 84% 271 87% 262 88%
12 Ehata Financial Company 8 75% 8 75% 7 86% 8 88% 8 88%
13 AlBilad Investment Company 120 83% 126 85% 127 87% 132 86% 141 87%
14 Saudi National Bonds 9 78% 11 73% 14 79% 19 84% 19 84%
15 Impact Capital Company 11 82% 11 82% 11 82% 13 85% 12 83%
AlKhair Capital Saudi Arabia

16 83 78% 87 80% 91 80% 92 80% 106 83%
Company
Arab National Investment
17 139 83% 138 83% 144 82% 142 83% 135 82%
Company
18 AlJazira Capital Company 167 81% 168 81% 170 82% 178 83% 177 82%
Derayah Financial Corporation

19 132 77% 142 78% 152 81% 163 82% 164 82%
Company
20 GIB Capital 56 77% 61 80% 60 80% 60 80% 59 81%
21 HSBC Saudi Arabia 298 81% 296 80% 283 80% 272 80% 283 80%
22 Saudi Fransi Capital 231 81% 236 80% 237 80% 240 80% 246 80%
House of Investment & Financial

23 9 67% 8 63% 10 70% 10 70% 15 80%
Capital
24 Alawwal INVEST Company 49 80% 45 76% 52 79% 54 80% 54 80%
Alistithmar Capital for Financial

25 126 78% 126 78% 128 78% 136 79% 136 79%
Securities and Brokerage
3
2020 2020 2020 2021 2021
Saudization
Saudization
Saudization
Saudization
Saudization
Number
Number
Number
Number
Number
%
%
Company
(Alistithmar Capital)
26 Alpha Capital 30 80% 32 81% 35 80% 35 83% 33 79%
27 Adeem Financial Company 18 67% 17 65% 16 63% 16 75% 14 79%
J.P. Morgan Saudi Arabia

28 43 72% 37 76% 36 75% 37 76% 37 78%
Company
29 Value Capital Partners Company 9 78% 11 82% 11 82% 10 80% 13 77%
30 Miyar Capital NA NA NA NA NA NA 0% 0% 13 77%
31 Al Nefaie Investment Group 35 69% 38 76% 41 80% 40 83% 43 77%
Watani Wealth Management

32 35 80% 34 79% 35 80% 36 78% 38 76%
Company
33 Alkhabeer Capital 89 73% 87 75% 84 73% 87 76% 88 76%
34 Al Wasatah Al Maliah Company 31 77% 31 74% 31 74% 33 76% 33 76%
35 FALCOM Financial Services 65 72% 87 69% 72 76% 82 78% 82 76%
Saudi Economic and

36 Development Securities Company 90 63% 83 65% 84 67% 99 72% 93 75%
(SEDCO Capital)
37 NEO Merchants Capital 4 75% 4 75% 4 75% 4 75% 4 75%
38 Mulkia Investment Company 25 72% 23 70% 23 70% 23 74% 24 75%
39 KASB Capital 20 65% 20 65% 19 63% 14 64% 16 75%
40 Citigroup Saudi Arabia 20 70% 24 71% 23 74% 25 72% 27 74%
41 Rekaz National Capital 14 71% 13 69% 16 75% 16 69% 15 73%
Ashmore Investment Saudi Arabia

42 18 67% 17 65% 19 68% 21 67% 22 73%
Company
Osool & Bakheet Investment
43 47 66% 48 67% 48 67% 49 69% 51 73%
Company
44 Tharwat For Financial Securities 29 69% 27 70% 26 73% 26 73% 25 72%
45 Bait Al Mal Al Khaleeji Company 15 73% 14 71% 14 71% 15 73% 14 71%
46 Bayt Alnomow Capital Company 5 80% 8 75% 8 75% 7 71% 7 71%
47 Nomw Capital 16 56% 23 61% 23 65% 24 71% 24 71%
Standard Chartered Capital Saudi

48 12 75% 13 77% 13 77% 9 67% 10 70%
Arabia
4
2020 2020 2020 2021 2021
Saudization
Saudization
Saudization
Saudization
Saudization
Number
Number
Number
Number
Number
%
%
49 Malaz Capital Company 24 58% 28 68% 27 67% 30 70% 29 69%
Middle East Financial Investment

50 34 74% 33 73% 32 72% 34 68% 32 69%
Company
Goldman Sachs Saudi Arabia
51 23 74% 23 74% 24 75% 21 71% 19 68%
Company
The Northern Trust Company of
52 17 65% 22 64% 20 70% 20 70% 19 68%
Saudi Arabia
53 Jadwa Investment Company 115 69% 115 67% 118 68% 119 67% 122 68%
Gulf Investors Asset Management

54 9 67% 9 67% 9 67% 9 67% 9 67%
Company
55 Musharaka Capital Company 30 67% 34 71% 40 73% 30 67% 39 67%
Watheeq Financial Services

56 9 67% 8 63% 10 60% 12 58% 12 67%
Company
57 Audi Capital Company 34 59% 33 61% 30 63% 27 63% 29 66%
Deutsche Securities Saudi Arabia

58 25 56% 24 67% 22 68% 27 67% 25 64%
Company
59 Arbah Capital Company 42 55% 45 56% 43 58% 44 61% 47 64%
60 AlDukheil Financial Group 11 55% 11 64% 15 67% 17 76% 11 64%
First Abu Dhabi Investment Saudi

61 11 73% 10 70% 13 62% 10 70% 11 64%
Company
62 Emirates NBD Capital KSA 24 63% 22 64% 22 64% 21 62% 22 64%
63 99Hlala Capital Company 16 69% 15 67% 13 62% 13 62% 11 64%
64 Alawwal Capital Company 31 58% 30 60% 28 57% 27 59% 27 63%
65 Esnad Financial Company 4 75% 5 80% 7 71% 8 63% 8 63%
BNY Mellon Saudi Financial

66 NA NA 6 50% 8 63% 8 63% 8 63%
Company
67 Merrill Lynch KSA Company 22 59% 21 57% 25 64% 22 64% 21 62%
68 Sidra Capital Company 42 57% 42 52% 42 52% 46 54% 51 61%
State Street Saudi Arabia Financial

69 10 60% 10 60% 10 60% 10 60% 10 60%
Solution Company
70 Anfaal Capital Company 13 54% 13 54% 13 54% 12 58% 12 58%
BNP Pariba Investment Company

71 13 46% 14 50% 14 50% 12 58% 12 58%
KSA
72 Kamco Investment Company 18 50% 18 50% 20 55% 19 58% 19 58%
73 Greenstone Saudi Arabia LLC 6 67% 8 75% 8 63% 7 57% 7 57%
5
2020 2020 2020 2021 2021
Saudization
Saudization
Saudization
Saudization
Saudization
Number
Number
Number
Number
Number
%
%
Saudi Kuwaiti Finance House
74 33 58% 34 59% 24 50% 21 48% 23 57%
Company
75 Aloula Geojit Capital Company 11 55% 11 55% 10 60% 9 56% 9 56%
76 Black Rock 7 29% 7 29% 7 29% 9 44% 11 55%
77 Amwal for Security Advising Ltd. 10 30% 9 33% 10 40% 10 50% 13 54%
Morgan Stanley Saudi Arabia

78 31 55% 27 56% 28 54% 28 54% 28 54%
Company
79 Blominvest Saudi Arabia Company 41 46% 42 50% 40 50% 43 51% 43 53%
80 UBS Saudi Arabia Company 18 56% 17 53% 17 53% 17 53% 17 53%
81 Itqan Capital Company 32 56% 32 56% 29 59% 29 41% 19 53%
Investcorp Saudi Arabia Financial

82 18 50% 17 53% 16 50% 16 50% 16 50%
Investment Company
83 Tanmia Capital Company NA NA 0 0% 0 0% 4 50% 6 50%
Credit Suisse Saudi Arabia

84 48 60% 47 60% 34 59% 34 62% 41 49%
Company
85 Muscat Capital 21 52% 21 52% 21 52% 20 45% 23 48%
86 SaudiMed Investment Company 18 50% 17 53% 17 47% 16 50% 15 47%
87 Mizuho Saudi Arabia Company 11 45% 10 50% 11 55% 15 67% 11 45%
88 Team One Company 13 46% 12 42% 13 54% 13 54% 11 45%
89 Societe Generale Saudi Arabia 12 50% 12 50% 12 50% 11 45% 11 45%
90 EFG-Hermes-KSA 40 45% 40 45% 40 45% 40 45% 40 45%
Ithmar Saudi Financial Consultancy

91 9 33% 8 38% 9 44% 9 44% 9 44%
Services
92 Areeb Capital 19 42% 19 42% 19 42% 18 39% 17 41%
93 FIM Partners KSA 6 33% 5 20% 5 20% 6 33% 5 40%
94 GFH Capital Saudi Arabia 8 25% 10 40% 10 30% 12 25% 10 40%
95 Swicorp Company 34 41% 32 50% 32 47% 33 42% 33 39%
Shuaa Capital Saudi Arabia

96 20 40% 21 38% 19 37% 20 35% 18 39%
Company
97 BMG Financial Group 18 33% 20 35% 19 37% 19 37% 17 35%
SMBC Advisory Services Saudi

98 5 40% 5 40% 6 33% 6 33% 6 33%
Arabia
6
2020 2020 2020 2021 2021
Saudization
Saudization
Saudization
Saudization
Saudization
Number
Number
Number
Number
Number
%
%
99 KKR Saudi Limited Company 4 25% 3 33% 3 33% 3 33% 3 33%
100 Al Ertiqa Financial Company NA NA NA NA NA NA 1 0% 3 33%
Credit Agricole CIB Arabia

101 NA NA NA NA NA NA NA NA 6 33%
Financial Company
Natixis Saudi Arabia Investment
102 9 33% 8 25% 9 33% 8 38% 7 29%
Company
Lazard Saudi Arabia Limited
103 8 25% 8 25% 8 25% 10 50% 8 25%
Company
Saudi Venture Capital Investment
104 8 13% 7 14% 8 13% 7 14% 7 14%
Company
105 SICO Financial Saudi Company 4 25% 6 0% 6 0% 0 0% 0 0%
Advance Vision Investment

106 0 0% 0 0% 0 0% 0 0% 0 0%
Company
107 Asyaf Investment Company NA NA 5 80% 0 0% 0 0% 0 0%
108 Tamra Capital Company NA NA 3 100% 0 0% 0 0% 0 0%
109 Moelis & Company Saudi Limited 3 0% 3 0% 3 0% 3 0% 3 0%
110 Dirham Capital NA NA NA NA NA NA 0% 0% 1 0%
TOTAL* 4,371 73% 4,417 74% 4,395 75% 4,464 76% 4,491 76%
NA :Not licensed at the time

*Total includes companies that was authorized at the time and now is no longer authorized
7
Table (2): Capital Adequacy For Capital Market Institutions Licensed in Dealing, Managing or/and Custody
2020 2020 2020 2021 2021
1 Credit Suisse Saudi Arabia Company 12.79 7.57 6.38 8.96 13.55
2 UBS Saudi Arabia Company 10.99 11.19 11.36 11.51 11.33
3 Deutsche Securities Saudi Arabia Company 10.99 10.63 10.47 10.80 10.50
State Street Saudi Arabia Financial Solution

4 NA NA 10.33 10.39 10.21
Company
5 FAB Capital NA NA 8.41 9.75 9.79
6 Citygroup Saudi Arabia 9.65 10.30 11.81 9.06 9.46
7 BNY Mellon Saudi Financial Company NA NA NA NA 0.00
8 Merrill Lynch KSA Company 5.68 7.52 7.90 8.67 8.60
9 The Northern Trust Company of Saudi Arabia 7.43 8.18 8.01 8.61 8.26
10 Emirates NBD Capital KSA 10.53 10.64 8.51 8.41 8.23
11 EFG-Hermes-KSA 6.12 5.95 6.31 5.84 6.99
12 Goldman Sachs Saudi Arabia Company 4.57 5.53 6.95 5.68 6.82
13 Standard Chartered Capital Saudi Arabia 8.15 7.55 5.47 5.63 6.79
14 J.P. Morgan Saudi Arabia Company 7.79 7.74 7.32 8.90 6.11
15 Alawwal INVEST Company 7.10 5.46 5.89 5.91 5.70
16 Al Wasatah Al Maliah Company 4.80 5.88 3.01 5.40 5.41
Investcorp Saudi Arabia Financial Investment

17 6.23 5.74 5.82 5.66 5.01
Company
18 Gulf Investors Asset Management Company 3.25 3.13 3.02 4.87 4.96
19 BNP Pariba Investment Company KSA 6.22 9.38 10.87 11.95 4.92
20 Morgan Stanley Saudi Arabia Company 4.66 4.54 4.77 4.63 4.35
21 GIB Capital 4.87 4.25 5.08 4.93 4.30
22 Natixis Saudi Arabia Investment Company 7.24 6.46 6.37 4.79 4.18
23 Miyar Capital NA NA NA NA 4.00
24 Saudi Kuwaiti Finance House Company 2.52 2.58 2.62 2.63 3.94
8
2020 2020 2020 2021 2021
25 National Bonds Company NA NA 4.97 4.22 3.92
26 Kamco Investment Company 2.06 2.00 6.96 4.63 3.77
27 Arab National Investment Company 2.45 2.63 2.67 2.74 3.41
28 Muscat Capital 4.24 3.98 4.31 4.47 3.28
29 SaudiMed Investment Company 2.42 2.40 3.11 3.09 3.12
30 Malaz Capital Company 1.76 1.86 1.86 2.40 2.75
31 Mulkia Investment Company 3.59 2.94 3.16 3.04 2.50
32 Al Rajhi Capital 2.25 2.29 2.26 2.52 2.39
33 Alawwal Capital Company 2.24 1.97 1.83 2.53 2.34
34 Audi Capital Company 2.32 2.31 2.63 2.33 2.34
SAMBA Capital & Investment Management

35 5.72 4.21 1.97 2.34 2.33
Company
36 Osool & Bakheet Investment Company 2.07 1.31 1.62 1.67 2.31
37 Riyad Capital Company 3.31 2.84 3.84 3.22 2.22
38 AlBilad Investment Company 2.08 2.11 2.21 2.08 2.11
39 Alinma Investment Company 2.48 1.90 2.00 2.16 2.08
40 NCB Capital Company 1.72 2.01 1.98 1.94 2.08
41 Sidra Capital Company 1.93 1.72 1.88 1.96 2.06
42 Saudi Fransi Capital 3.80 2.71 1.88 2.10 1.95
43 Alpha Capital 2.01 2.02 1.86 2.33 1.95
44 Derayah Financial Corporation Company 1.65 1.76 1.44 1.71 1.90
Alistithmar Capital for Financial Securities and

45 2.77 2.04 2.24 2.28 1.86
Brokerage Company (Alistithmar Capital)
46 Ashmore Investment Saudi Arabia Company 1.67 1.61 2.29 1.60 1.75
Saudi Economic and Development Securities

47 Company 1.71 2.01 1.55 1.77 1.73
(SEDCO Capital)
48 AlJazira Capital Company 2.12 1.81 1.80 2.00 1.70
49 Musharaka Capital Company 1.71 1.65 1.56 1.87 1.67
9
2020 2020 2020 2021 2021
50 Jadwa Investment Company 1.70 1.83 1.78 1.82 1.57
51 Nomw Capital 1.97 1.66 1.41 1.66 1.55
52 Blominvest Saudi Arabia Company 2.09 1.81 2.09 1.96 1.55
53 AlKhair Capital Saudi Arabia Company 5.55 5.87 1.47 1.56 1.55
54 Bait Al Mal Al Khaleeji Company 1.63 1.62 1.63 1.54 1.54
55 Al Nefaie Investment Group 1.37 1.42 1.49 1.45 1.51
56 Arbah Capital Company 1.54 1.44 1.40 1.68 1.50
57 KASB Capital 1.67 1.58 1.54 1.40 1.49
58 Areeb Capital 1.54 1.55 1.31 1.31 1.48
59 Watani Wealth Management Company 2.42 1.32 2.22 1.33 1.44
60 Middle East Financial Investment Company 1.80 1.73 1.55 1.41 1.40
61 Swicorp Company 1.33 1.46 1.47 1.49 1.38
62 HSBC Saudi Arabia 1.96 1.60 1.93 1.85 1.38
63 FALCOM Financial Services 1.46 1.01 1.34 1.40 1.32
64 Tharwat For Financial Securities 1.42 1.37 1.32 1.25 1.26
65 Alkhabeer Capital 1.06 1.07 0.97 1.04 1.19
66 99Hlala Capital Company 1.19 1.17 1.18 1.18 1.17
67 Shuaa Capital Saudi Arabia Company 1.16 1.21 1.13 1.17 1.12
68 Itqan Capital Company 1.15 1.09 1.05 0.99 1.06
69 Saudi Venture Capital Investment Company 1.05 1.04 1.43 0.83 0.86
70 Adeem Financial Company 1.13 1.00 0.73 0.84 0.73
71 Anfaal Capital Company 1.53 1.20 0.93 0.45 -0.11
10
Table (3): Trading values Per Broker (Capital Market Institutions Licensed in Dealing as an
Agent)
(Million Riyal)
Quarter 1 Quarter 2
# Capital Market Institutions 2021 2021
Main Market Nomu Market Total Main Market Nomu Market Total
1 Al Rajhi Capital 282,188 1,401 283,589 243,929 882 244,812
2 NCB Capital Company 195,155 383 195,539 186,371 244 186,615

Derayah Financial
3 158,410 618 159,028 140,530 375 140,905
Corporation Company
4 AlJazira Capital Company 125,853 1,134 126,987 111,402 533 111,934
SAMBA Capital &
5 Investment Management 105,783 377 106,160 90,100 228 90,327
Company
6 Riyad Capital Company 84,283 291 84,574 73,416 835 74,251
7 Saudi Fransi Capital 70,473 304 70,777 68,435 254 68,689
8 HSBC Saudi Arabia 53,419 167 53,586 59,147 111 59,258

Alinma Investment
9 48,330 111 48,440 40,846 73 40,919
Company
Alistithmar Capital for
Financial Securities and
10 39,466 97 39,563 40,629 64 40,693
Brokerage Company
11 39,420 87 39,506 38,902 77 38,978
Company
AlBilad Investment
12 39,099 28 39,127 32,675 48 32,723
Company
13 FALCOM Financial Services 41,516 224 41,740 30,294 153 30,447
Morgan Stanley Saudi
14 13,507 0 13,507 17,761 16 17,777
Arabia Company
Goldman Sachs Saudi
15 14,379 18 14,397 15,664 35 15,699
Arabia Company
AlKhair Capital Saudi
16 21,293 25 21,318 15,002 50 15,052
Arabia Company
J.P. Morgan Saudi Arabia
17 8,520 1 8,521 14,170 24 14,194
Company
18 EFG-Hermes-KSA 10,359 1 10,360 12,611 19 12,630
Merrill Lynch KSA
19 8,327 2 8,330 11,663 18 11,681
Company
Al Nefaie Investment
20 7,253 100 7,352 9,004 53 9,057
Group
21 4,494 0 4,494 8,385 17 8,402
Company
22 Alawwal INVEST Company 9,399 4 9,403 7,897 8 7,905
Jadwa Investment
23 1,817 0 1,817 2,869 0 2,869
Company
24 Arbah Capital Company 2,695 49 2,744 2,576 31 2,607
25 Citygroup Saudi Arabia 1,902 0 1,902 2,284 0 2,284
26 GIB Capital 1,309 0 1,309 2,161 99 2,260
11
Table (3): Trading values Per Broker (Capital Market Institutions Licensed in Dealing as an
Agent)
(Million Riyal)
Quarter 1 Quarter 2
# Capital Market Institutions 2021 2021
Main Market Nomu Market Total Main Market Nomu Market Total
27 Muscat Capital 2,222 0 2,222 1,917 0 1,917
28 Emirates NBD Capital KSA 1,535 0 1,535 1,793 4 1,797

Osool & Bakheet
29 1,547 11 1,558 1,089 0 1,089
Investment Company
30 Audi Capital Company 213 0 213 245 0 245
Deutsche Securities Saudi
31 344 0 344 244 0 244
Arabia Company
TOTAL 1,394,510 5,433 1,399,943 1,284,009 4,251 1,288,261
NA :Not licensed at the time or no longer authorized
12
Table (4): Asset Under Management (AUM) Per Capital Market Institution
(Public, Private Funds and Discretionary Portfolio Management (DPM))
(Million Riyal)
2020 2020 2020 2021 2021
1 NCB Capital Company 165,614.14 175,556.34 192,839.36 221,829.13 224,715.43
2 Riyad Capital Company 49,057.88 60,883.58 67,112.84 77,201.99 81,613.40
3 Alinma Investment Company 56,329.96 58,427.73 61,311.20 63,270.83 66,407.68
4 Al Rajhi Capital 46,934.56 48,055.12 52,557.71 57,711.52 59,433.48
5 Jadwa Investment Company 22,849.94 26,152.41 29,730.64 36,053.97 41,906.14

6 22,163.20 23,702.18 24,480.03 26,054.15 25,877.29
Management Company
7 Securities and Brokerage Company 16,302.52 19,166.72 20,653.90 24,025.56 25,410.03
8 HSBC Saudi Arabia 17,316.43 18,481.38 18,906.65 21,123.73 19,293.80
9 Saudi Fransi Capital 10,834.00 16,619.09 16,520.18 17,980.11 19,021.59
10 AlBilad Investment Company 11,780.53 12,244.02 12,994.74 12,527.67 12,968.64
11 AlJazira Capital Company 12,085.51 11,492.59 11,250.17 11,887.46 11,058.22

12 10,335.93 10,729.29 11,099.14 10,292.64 9,928.17
Company
13 Arab National Investment Company 7,014.72 8,388.88 9,530.86 9,920.94 9,552.38
14 Alpha Capital 2,492.69 4,451.45 6,685.44 8,314.60 9,540.69
15 Blominvest Saudi Arabia Company 4,754.19 6,521.48 6,563.67 6,767.36 7,024.64

16 3,983.11 5,102.19 5,544.76 6,180.94 6,815.83
Company
Ashmore Investment Saudi Arabia
17 4,426.27 4,740.55 4,673.64 5,340.55 6,801.37
Company
18 2,114.92 2,542.29 2,276.33 3,778.73 6,049.28
Company
19 GIB Capital 3,353.12 5,509.78 4,113.29 4,385.59 5,981.13
20 Alkhabeer Capital 3,693.98 3,576.66 5,246.77 5,659.85 5,845.73

Saudi Economic and Development
21 Securities Company 3,986.21 4,065.82 5,958.19 3,942.50 3,997.57
(SEDCO Capital)
22 Mulkia Investment Company 3,782.40 3,982.12 4,057.00 3,652.98 3,680.97
23 Tharwat For Financial Securities 2,524.71 2,570.34 2,436.44 2,534.90 3,413.57
24 FALCOM Financial Services 2,074.37 2,455.04 2,513.07 3,130.44 3,313.58
25 Muscat Capital 2,777.07 2,844.20 3,078.19 3,224.40 2,860.14

26 2,986.22 2,553.92 2,671.60 2,875.95 2,833.29
Company
27 Malaz Capital Company 2,749.90 2,549.77 2,507.56 2,513.77 2,447.10
28 Shuaa Capital Saudi Arabia Company 1,320.00 1,888.57 1,888.57 1,916.92 1,916.92
13
(Million Riyal)
2020 2020 2020 2021 2021
29 Value Capital Partners Company 1,238.80 1,906.97 2,004.91 1,929.28 1,773.64
30 Adeem Financial Company 1,739.68 1,708.79 1,707.69 1,867.82 1,659.55
31 Alawwal INVEST Company 1,434.06 1,375.45 1,347.48 1,592.66 1,606.56
32 Musharaka Capital Company 925.07 1,206.58 1,355.70 1,414.48 1,422.74
33 Emirates NBD Capital KSA 840.01 733.36 708.43 680.32 1,392.38
34 Nomw Capital 1,303.61 1,302.48 1,302.48 1,335.02 1,366.27
35 Itqan Capital Company 1,067.53 1,280.94 1,482.16 1,296.44 1,294.67
36 Sidra Capital Company 1,140.58 1,220.80 1,149.97 1,236.63 1,248.30

37 1,118.60 1,137.74 1,565.80 1,306.75 1,144.30
Company
38 Arbah Capital Company 232.69 402.94 563.44 859.13 1,067.31
39 Miyar Capital NA NA NA 0.00 1,063.99

40 833.43 854.52 848.88 999.04 1,022.37
Company
41 KASB Capital 1,166.17 1,232.95 1,220.57 1,011.99 998.28
42 FIM Partners KSA 448.18 609.17 796.57 922.33 966.56
43 Swicorp Company 1,277.19 1,010.90 958.16 947.54 947.54
44 Alawwal Capital Company 1,138.36 1,224.09 1,199.22 1,245.20 888.34
45 Kamco Investment Company 605.48 679.03 708.44 790.99 861.26
46 Anfaal Capital Company 550.00 550.00 550.00 550.00 550.00

47 601.99 601.99 553.70 543.68 543.68
Investment Company
49 Impact Capital Company 215.40 159.51 165.32 196.97 379.90
51 United Financial House Company 255.00 255.00 255.00 255.00 255.00
52 Al Wasatah Al Maliah Company 240.74 240.55 240.81 242.46 239.98
53 Areeb Capital 165.84 165.46 163.97 233.20 233.14
54 SaudiMed Investment Company 189.61 196.29 194.09 184.83 184.74
55 99Hlala Capital Company 237.86 237.86 237.85 237.86 160.95

56 243.76 180.95 177.44 155.57 152.30
Company
57 Bait Al Mal Al Khaleeji Company 109.63 121.82 124.11 137.44 143.96
58 84.74 108.80 112.83 123.59 132.91
Company
14
(Million Riyal)
2020 2020 2020 2021 2021
59 Merak Capital Company NA NA NA 7.48 114.75
61 Rekaz National Capital NA 56.25 56.25 56.25 67.75
62 Aloula Geojit Capital Company 0.00 0.00 0.00 37.55 37.55
63 The Investor Company For Securities 433.22 34.55 34.55 34.55 34.55
64 0.00 24.98 17.61 30.99 30.69
Capital
65 UBS Saudi Arabia Company 20.01 14.36 11.35 0.00 12.14
66 0.00 0.00 0.00 0.00 0.00
Company
67 EFG-Hermes-KSA 0.00 0.00 0.00 0.00 0.00
68 Ithraa Capital Company 0.00 0.00 NA 0.00 0.00

69 0.00 0.00 0.00 0.00 0.00
KSA
70 Gulf One Capital Company 0.00 0.00 NA 0.00 0.00
71 0.00 0.00 0.00 0.00 0.00
Company
72 0.00 0.00 0.00 0.00 0.00
Saudi Arabia
73 0.00 0.00 0.00 0.00 0.00
Company
74 0.00 0.00 0.00 0.00 0.00
Company
TOTAL 515,966.86 566,707.26 611,723.80 677,320.36 704,465.70
15
Table (5): Complaints rate Deposited to CMA against Capital Market Institutions
)Percentage of deposited complaints over number of clients(**

# Capital Market Institutions 2020 2020 2020 2021 2021
2 Mulkia Investment Company 0.000 0.000 0.000 0.000 3.984
4 KASB Capital 0.000 2.212 0.369 1.474 1.105
5 AlKhair Capital Saudi Arabia Company 1.188 0.000 0.687 0.000 1.044
6 HSBC Saudi Arabia 0.094 0.170 0.246 0.347 0.320
7 Osool & Bakheet Investment Company 0.000 0.250 0.269 0.000 0.317
8 Al Rajhi Capital 0.107 0.362 0.085 0.048 0.304
9 Derayah Financial Corporation Company 0.295 0.344 0.439 0.582 0.286
10 Alawwal INVEST Company 0.153 0.290 0.399 0.306 0.232
11 FALCOM Financial Services 0.000 0.349 0.079 0.442 0.207
12 NCB Capital Company 0.029 0.290 0.123 0.103 0.202
13 AlJazira Capital Company 0.082 0.915 0.409 0.158 0.151

14 0.101 0.198 0.127 0.114 0.107
Company
15 0.235 0.911 0.222 0.180 0.088
16 Alinma Investment Company 0.071 0.078 0.013 0.082 0.037
17 AlBilad Investment Company 0.079 0.075 0.017 0.071 0.033
18 Riyad Capital Company 0.026 0.055 0.042 0.040 0.024
19 Arab National Investment Company 0.026 0.036 0.037 0.028 0.015
20 Saudi Fransi Capital 0.030 0.070 0.050 0.077 0.012
21 Alawwal Capital Company 0.000 44.776 14.388 27.397 0.000
22 Blominvest Saudi Arabia Company 0.000 7.220 0.000 7.282 0.000
23 Gulf Investors Asset Management Company 5.464 0.000 0.000 5.618 0.000
24 GIB Capital 1.397 1.368 0.000 1.328 0.000
25 Jadwa Investment Company 0.000 0.000 0.515 1.136 0.000
26 Middle East Financial Investment Company 0.000 15.094 11.152 0.000 0.000
27 Arbah Capital Company 1.938 2.882 4.357 0.000 0.000
28 Ashmore Investment Saudi Arabia Company 0.000 0.000 0.000 0.000 0.000
29 Macquarie Capital Saudi Arabia LLC 0.000 0.000 0.000 0.000 0.000
16
Table (5): Complaints rate Deposited to CMA against Capital Market Institutions
)Percentage of deposited complaints over number of clients(**

# Capital Market Institutions 2020 2020 2020 2021 2021
30 Company 0.000 0.000 0.000 0.000 0.000
(SEDCO Capital)
31 Deutsche Securities Saudi Arabia Company 11.236 0.000 0.000 0.000 0.000
32 Emirates NBD Capital KSA 1.499 1.095 0.000 0.000 0.000
33 Alkhabeer Capital 3.960 21.318 0.000 0.000 0.000
34 EFG-Hermes-KSA 0.000 0.000 0.000 0.000 0.000
35 Watani Wealth Management Company 0.000 0.000 0.000 0.000 0.000

36 0.000 0.000 0.000 0.000 0.000
Company
37 Adeem Financial Company 7.463 14.388 0.000 0.000 0.000
38 Saudi Kuwaiti Finance House Company 0.000 6.579 0.000 0.000 0.000
39 Tharwat For Financial Securities 0.000 20.408 0.000 0.000 0.000
40 Goldman Sachs Saudi Arabia Company 0.000 0.000 0.000 0.000 0.000
41 J.P. Morgan Saudi Arabia Company 0.000 0.000 0.000 0.000 0.000
42 Sidra Capital Company 0.000 0.000 0.000 0.000 0.000
43 Citigroup Saudi Arabia 0.000 0.000 0.000 0.000 0.000
45 Muscat Capital 0.000 0.000 0.000 0.000 0.000
46 Musharaka Capital Company 0.000 0.000 0.000 0.000 0.000
47 Morgan Stanley Saudi Arabia Company 0.000 0.000 0.000 0.000 0.000
48 Merrill Lynch KSA Company 0.000 0.000 0.000 0.000 0.000
*NA :Not licensed at the time or no longer authorized

**Complaints rate per Capital Market Institution with 50 clients or more = (number of complaints / number of clients)X (1000)
***AP's who have less than 50 clients were excluded
17
Complaints Filed with CMA*
2020 2020 2020 2021 2021
1 FALCOM Financial Services - 75.00% 0.00% 50.00% 100.00%
2 Anfaal Capital Company 0.00% 100.00% - - 100.00%
3 The Investor Company For Securities 66.67% 57.14% - - 100.00%
4 Riyad Capital Company 62.50% 47.05% 82.92% 89.47% 91.30%
5 AlBilad Investment Company 71.88% 54.83% 100.00% 100.00% 78.57%
6 Arab National Investment Company 93.75% 68.18% 87.50% 70.58% 77.77%
7 Al Nefaie Investment Group - - - - 75.00%
8 Alinma Investment Company 100.00% 45.00% 100.00% 100.00% 72.72%
9 Saudi Fransi Capital 88.89% 57.14% 69.23% 70.83% 66.66%
10 Derayah Financial Corporation Company 19.05% 59.25% 0.08% 39.47% 65.30%

11 78.57% 20.33% 40.00% 25.00% 62.50%
12 52.78% 38.02% 92.30% 85.71% 60.60%
Company
13 Alawwal INVEST Company - 42.30% 63.88% 37.03% 60.00%
14 HSBC Saudi Arabia 72.73% 45.00% 96.55% 85.00% 52.63%
15 NCB Capital Company 86.67% 26.16% 76.44% 58.62% 46.10%
16 AlKhair Capital Saudi Arabia Company 100.00% - 0.00% - 33.33%
17 AlJazira Capital Company 66.67% 50.68% 78.78% 30.76% 23.07%
18 Al Rajhi Capital 98.83% 56.61% 57.04% 97.45% 8.96%
19 KASB Capital - 83.33% 50.00% 100.00% 0.00%
20 99Hlala Capital Company - 100.00% 100.00% 50.00% 0.00%
21 Osool & Bakheet Investment Company - 100.00% 100.00% - 0.00%
22 Credit Suisse Saudi Arabia Company - - - - 0.00%
23 Mulkia Investment Company - - - - 0.00%
24 Saudi Venture Capital Investment Company - - - - 0.00%
25 Jadwa Investment Company - - 0.00% 100.00% -
26 Gulf Investors Asset Management Company 0.00% - - 0.00% -
27 GIB Capital 100.00% - - 100.00% -
28 Alawwal Capital Company 61.54% 83.33% 50.00% 50.00% -
29 Blominvest Saudi Arabia Company - 100.00% - 33.33% -
30 Aloula Geojit Capital Company 100.00% 0.00% - 0.00% -
18
2020 2020 2020 2021 2021
31 Gulf One Capital Company 100.00% 100.00% 100.00% - -
32 Middle East Financial Investment Company - 75.00% 66.66% - -
33 Arbah Capital Company 100.00% 100.00% 50.00% - -
34 Adeem Financial Company 33.33% 100.00% - - -
35 House of Investment & Financial Capital - 100.00% - - -
36 Saudi Kuwaiti Finance House Company - 100.00% - - -
37 Tharwat For Financial Securities - 100.00% - - -
38 Alkhabeer Capital 0.00% 72.72% - - -
39 Itqan Capital Company - 50.00% - - -
40 Emirates NBD Capital KSA 100.00% 0.00% - - -
41 Ithmar Saudi Financial Consultancy Services 100.00% 0.00% - - -
42 Kamco Investment Company - 0.00% - - -
43 J.P. Morgan Saudi Arabia Company - 0.00% - - -
44 Amwal for Security Advising Ltd. 100.00% - - - -
45 Swicorp Company 100.00% - - - -
46 Shuaa Capital Saudi Arabia Company 100.00% - - - -
47 Deutsche Securities Saudi Arabia Company 0.00% - - - -

48 Company - - - - -
(SEDCO Capital)
49 Standard Chartered Capital Saudi Arabia - - - - -
50 SaudiMed Investment Company - - - - -
51 Team One Company - - - - -
52 EFG-Hermes-KSA - - - - -
53 Saudi Portfolio Securities Company - - - - -
54 Malaz Capital Company - - - - -
55 Nomw Capital - - - - -
56 Al Wasatah Al Maliah Company - - - - -
57 Watani Wealth Management Company - - - - -

58 - - - - -
Company
59 Ithraa Capital Company - - - - -
60 Ehata Financial Company - - - - -
19
2020 2020 2020 2021 2021
61 Ashmore Investment Saudi Arabia Company - - - - -
62 BNP Pariba Investment Company KSA - - - - -
63 United Financial House Company - - - - -
64 House of National Consulting Company - - - - -
65 Bait Al Mal Al Khaleeji Company - - - - -
66 Goldman Sachs Saudi Arabia Company - - - - -
67 Sidra Capital Company - - - - -
68 Societe Generale Saudi Arabia - - - - -
69 Citigroup Saudi Arabia - - - - -
70 Audi Capital Company - - - - -
71 KKR Saudi Limited Company - - - - -
72 Lazard Saudi Arabia Limited Company - - - - -
73 Macquarie Capital Saudi Arabia LLC - - - - -
74 Muscat Capital - - - - -
75 Musharaka Capital Company - - - - -

The Family Office International Investment
76 - - - - -
Company
77 Morgan Stanley Saudi Arabia Company - - - - -
78 Merrill Lynch KSA Company - - - - -
79 Mizuho Saudi Arabia Company - - - - -

The Northern Trust Company of Saudi
80 - - - - -
Arabia
81 UBS Saudi Arabia Company - - - - -
82 AlDukheil Financial Group - - - - -
83 BMG Financial Group - - - - -
84 Areeb Capital - - - - -
*Number of settled complaints over number of deposited complaints

(-) There are no complaints according to the definition of total complaints
20
Tadawul
# Capital Market Institutions *
2020 2020 2020 2021 2021
3 Alawwal INVEST Company 100.00% 100.00% 100.00% 100.00% 100.00%
4 Citigroup Saudi Arabia 100.00% 100.00% 100.00% 100.00% 100.00%
5 Credit Suisse Saudi Arabia Company 100.00% 100.00% 99.73% 100.00% 100.00%
6 Audi Capital Company 100.00% 100.00% 100.00% 100.00% 100.00%
7 Al Rajhi Capital 99.95% 100.00% 100.00% 100.00% 99.98%
9 Muscat Capital 99.97% 99.99% 99.99% 99.99% 99.97%
11 Arbah Capital Company 100.00% 100.00% 100.00% 100.00% 99.66%
12 AlKhair Capital Saudi Arabia Company 99.96% 99.96% 99.96% 99.60% 99.60%
13 99.93% 100.00% 100.00% 100.00% 99.58%
Company
14 Jadwa Investment Company 100.00% 100.00% 100.00% 99.99% 99.50%
15 100.00% 100.00% 100.00% 100.00% 99.49%
Company
16 Securities and Brokerage Company 100.00% 99.98% 99.98% 100.00% 99.48%
17 Arab National Investment Company 99.96% 99.96% 100.00% 100.00% 99.47%
18 EFG-Hermes-KSA 100.00% 100.00% 100.00% 100.00% 99.47%
19 Merrill Lynch KSA Company 100.00% 99.98% 100.00% 99.80% 99.47%
20 GIB Capital 99.98% 100.00% 99.93% 100.00% 99.46%

21 100.00% 100.00% 100.00% 99.88% 99.46%
Company
23 J.P. Morgan Saudi Arabia Company 100.00% 100.00% 100.00% 100.00% 99.43%
24 100.00% 99.89% 99.99% 100.00% 99.41%
Management Company
26 Al Nefaie Investment Group 99.95% 99.96% 100.00% 100.00% 99.37%

27 100.00% 99.70% 100.00% 99.80% 99.34%
Company
28 Emirates NBD Capital KSA 99.00% 99.90% 99.00% 99.20% 99.33%
29 100.00% 100.00% 100.00% 100.00% 99.32%
Company
21
Tadawul
2020 2020 2020 2021 2021
30 FALCOM Financial Services 100.00% 100.00% 99.98% 98.90% 99.10%
*AP Licensed in Dealing as an Agent

22
Table (8): The Availability Rate Of The Connection Service Capital Market Institutions and Their Clients

2020 2020 2020 2021 2021
1 97.60% 97.65% 99.71% 100.00% 100.00%
Company
2 100.00% 99.96% 100.00% 100.00% 100.00%
Company
3 Jadwa Investment Company 100.00% 100.00% 100.00% 100.00% 100.00%
4 100.00% 100.00% 100.00% 100.00% 100.00%
Company
5 Alawwal INVEST Company 100.00% 100.00% 95.00% 100.00% 100.00%
6 EFG-Hermes-KSA 100.00% 100.00% 100.00% 100.00% 100.00%

7 99.08% 100.00% 100.00% 100.00% 100.00%
Management Company
10 Emirates NBD Capital KSA 100.00% 100.00% 99.00% 99.20% 100.00%
12 Muscat Capital 99.97% 99.99% 99.99% 99.99% 99.97%
17 Arbah Capital Company 100.00% 100.00% 100.00% 100.00% 99.66%

18 99.96% 99.96% 99.96% 99.60% 99.60%
Company
19 Securities and Brokerage 99.74% 99.35% 99.91% 99.80% 99.58%
Company (Alistithmar Capital)
20 GIB Capital 99.98% 100.00% 99.93% 100.00% 99.46%
21 99.33% 100.00% 99.80% 99.30% 99.45%
Company
22 FALCOM Financial Services 100.00% 100.00% 99.98% 98.90% 99.10%
23 Al Nefaie Investment Group 99.93% 99.95% 99.99% 99.57% 99.06%
24 Al Rajhi Capital 98.40% 96.88% 99.23% 99.92% 98.49%
*AP Licensed in Dealing as an Agent

NA :Not licensed at the time or no longer authorized
23
Table (9): Number of Public and Private Funds per Capital Market Institution
Quarter 3 Quarter 4 Quarter 1 Quarter 2

2020 2020 2021 2021
Private
Private
Private
Private
Public
Public
Public
Public
Total
Total
Total
Total
1 NCB Capital Company 24 74 98 24 83 107 24 89 113 24 88 112
2 Jadwa Investment Company 7 44 51 7 51 58 8 52 60 8 52 60
3 Riyad Capital Company 30 11 41 30 13 43 30 14 44 30 17 47
4 Alinma Investment Company 11 20 31 11 21 32 11 24 35 11 23 34
5 HSBC Saudi Arabia 19 7 26 19 9 28 19 8 27 19 7 26
6
21 4 25 21 3 24 21 4 25 21 4 25
Management Company
7 Itqan Capital Company 2 16 18 2 17 19 2 21 23 2 21 23
8 GIB Capital 3 13 16 3 14 17 3 18 21 3 18 21
9
Blominvest Saudi Arabia
4 14 18 5 14 19 4 14 18 4 17 21
Company
10 AlBilad Investment Company 12 9 21 12 10 22 10 8 18 11 8 19
11
4 10 14 4 10 14 4 14 18 4 14 18
Company
12 Securities and Brokerage 4 10 14 4 12 16 4 12 16 4 12 16
Company (Alistithmar Capital)
13 AlJazira Capital Company 15 2 17 15 2 17 14 2 16 14 2 16
14 Alkhabeer Capital 2 12 14 2 13 15 3 13 16 3 13 16
15 Al Rajhi Capital 14 1 15 14 1 15 14 2 16 14 2 16
16 Saudi Fransi Capital 12 5 17 12 4 16 12 4 16 12 4 16
17
3 13 16 4 11 15 4 11 15 4 11 15
Company
18
2 9 11 2 10 12 2 11 13 3 11 14
Company
19
9 2 11 9 3 12 9 3 12 9 3 12
Company
20 Nomw Capital 0 4 4 0 5 5 0 11 11 0 11 11
21 Alpha Capital 2 5 7 2 6 8 2 8 10 2 9 11
22 Alawwal Capital Company 3 7 10 3 8 11 3 8 11 3 7 10
23 Malaz Capital Company 0 8 8 0 9 9 0 10 10 0 10 10
24 KASB Capital 6 5 11 6 5 11 6 4 10 6 4 10
25 Mulkia Investment Company 1 7 8 1 8 9 1 9 10 1 9 10
26
5 3 8 5 3 8 5 4 9 5 4 9
Company
27 FALCOM Financial Services 6 2 8 6 2 8 6 2 8 6 2 8
24

2020 2020 2021 2021
Private
Private
Private
Private
Public
Public
Public
Public
Total
Total
Total
Total
28
Ashmore Investment Saudi
2 7 9 2 8 10 2 5 7 2 6 8
Arabia Company
29 Adeem Financial Company 0 8 8 0 8 8 0 8 8 0 7 7
Saudi Economic and
30 Development Securities 2 6 8 2 6 8 1 6 7 1 6 7
Company
31 Alawwal INVEST Company 7 0 7 7 0 7 7 0 7 7 0 7
32 Musharaka Capital Company 3 2 5 3 3 6 3 4 7 3 4 7
33 Muscat Capital 3 3 6 3 3 6 3 3 6 3 3 6
34 Tharwat For Financial Securities 1 3 4 1 4 5 1 4 5 1 5 6
35 Emirates NBD Capital KSA 0 6 6 0 6 6 0 5 5 0 5 5
36
3 4 7 1 4 5 1 4 5 1 4 5
Company
37 Value Capital Partners Company 0 2 2 0 2 2 0 5 5 0 4 4
38 SaudiMed Investment Company 0 4 4 0 4 4 0 4 4 0 4 4
39 Al Wasatah Al Maliah Company 1 3 4 1 3 4 1 3 4 1 3 4
40 Areeb Capital 0 4 4 0 4 4 0 4 4 0 4 4
41 Bait Al Mal Al Khaleeji Company 3 1 4 3 1 4 3 1 4 3 1 4
42
Shuaa Capital Saudi Arabia
0 5 5 0 5 5 0 4 4 0 4 4
Company
43
0 3 3 0 3 3 0 3 3 0 3 3
Company
44 Impact Capital Company 0 3 3 0 3 3 0 3 3 0 3 3
45 Sidra Capital Company 0 2 2 0 2 2 0 3 3 0 3 3
46 Al Nefaie Investment Group 2 1 3 1 2 3 1 2 3 1 2 3
47 Audi Capital Company 3 0 3 3 0 3 3 0 3 2 0 2
48 99Hlala Capital Company 0 2 2 0 2 2 0 2 2 0 2 2
49
The Investor Company For
0 2 2 0 2 2 0 2 2 0 2 2
Securities
50
0 2 2 0 2 2 0 2 2 0 2 2
Investment Company
51 Arbah Capital Company 1 2 3 1 1 2 1 1 2 1 1 2
52 Rekaz National Capital 0 1 1 0 1 1 0 2 2 0 2 2
53 Kamco Investment Company 1 1 2 1 1 2 1 1 2 1 1 2
54
1 2 3 1 2 3 1 1 2 1 1 2
Company
25

2020 2020 2021 2021
Private
Private
Private
Private
Public
Public
Public
Public
Total
Total
Total
Total
55 Aloula Geojit Capital Company 0 0 0 0 0 0 0 1 1 0 1 1
56 Anfaal Capital Company 0 1 1 0 1 1 0 1 1 0 1 1
57 United Financial House Company 0 1 1 0 1 1 0 1 1 0 1 1
58 Swicorp Company 1 0 1 1 0 1 1 0 1 1 0 1
59 Merak Capital Company NA NA NA 0 1 1 0 1 1 0 1 1
60
0 0 0 0 0 0 0 1 1 0 1 1
Company
61 UBS Saudi Arabia Company 0 5 5 0 5 5 0 0 0 0 1 1
62
0 0 0 0 0 0 0 0 0 0 0 0
Capital
63
0 0 0 0 0 0 0 0 0 0 0 0
Company
64
0 0 0 0 0 0 0 0 0 0 0 0
Company
65 EFG-Hermes-KSA 0 0 0 0 0 0 0 0 0 0 0 0
66
0 0 0 0 0 0 0 0 0 0 0 0
Company
67
0 0 0 0 0 0 0 0 0 0 0 0
KSA
68
0 0 0 0 0 0 0 0 0 0 0 0
Company
69
0 0 0 0 0 0 0 0 0 0 0 0
Saudi Arabia
70
0 0 0 0 0 0 0 0 0 0 0 0
Company
Total 255 403 658 254 437 691 251 467 718 525 471 723
*AP Licensed in Investment Fund Management

26

APs Report Q2 2021 en

Uploaded by

Copyright:

Available Formats

APs Report Q2 2021 en

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

APs Report Q2 2021 en

Uploaded by

Copyright:

Available Formats

Capital Market Institutions Report

Fifteenth Issue -Second Quarter of 2021

Data and Statistics Unit’s

Data Management Office

Strategy & International Affairs Deputy’s

Raed Advanced Investments

4 Razeen Financial Company NA NA NA NA NA NA 0% 0% 4 100%

SAMBA Capital & Investment

8 Arch Capital NA NA NA NA 1 100% 3 67% 9 89%

The Family Office International

12 Ehata Financial Company 8 75% 8 75% 7 86% 8 88% 8 88%

14 Saudi National Bonds 9 78% 11 73% 14 79% 19 84% 19 84%

15 Impact Capital Company 11 82% 11 82% 11 82% 13 85% 12 83%

AlKhair Capital Saudi Arabia

Derayah Financial Corporation

House of Investment & Financial

Alistithmar Capital for Financial

27 Adeem Financial Company 18 67% 17 65% 16 63% 16 75% 14 79%

J.P. Morgan Saudi Arabia

30 Miyar Capital NA NA NA NA NA NA 0% 0% 13 77%

31 Al Nefaie Investment Group 35 69% 38 76% 41 80% 40 83% 43 77%

Watani Wealth Management

34 Al Wasatah Al Maliah Company 31 77% 31 74% 31 74% 33 76% 33 76%

35 FALCOM Financial Services 65 72% 87 69% 72 76% 82 78% 82 76%

Saudi Economic and

38 Mulkia Investment Company 25 72% 23 70% 23 70% 23 74% 24 75%

39 KASB Capital 20 65% 20 65% 19 63% 14 64% 16 75%

40 Citigroup Saudi Arabia 20 70% 24 71% 23 74% 25 72% 27 74%

41 Rekaz National Capital 14 71% 13 69% 16 75% 16 69% 15 73%

Ashmore Investment Saudi Arabia

45 Bait Al Mal Al Khaleeji Company 15 73% 14 71% 14 71% 15 73% 14 71%

46 Bayt Alnomow Capital Company 5 80% 8 75% 8 75% 7 71% 7 71%

47 Nomw Capital 16 56% 23 61% 23 65% 24 71% 24 71%

Standard Chartered Capital Saudi

Middle East Financial Investment

Gulf Investors Asset Management

Watheeq Financial Services

Deutsche Securities Saudi Arabia

60 AlDukheil Financial Group 11 55% 11 64% 15 67% 17 76% 11 64%

First Abu Dhabi Investment Saudi

63 99Hlala Capital Company 16 69% 15 67% 13 62% 13 62% 11 64%

64 Alawwal Capital Company 31 58% 30 60% 28 57% 27 59% 27 63%

65 Esnad Financial Company 4 75% 5 80% 7 71% 8 63% 8 63%

BNY Mellon Saudi Financial

68 Sidra Capital Company 42 57% 42 52% 42 52% 46 54% 51 61%

State Street Saudi Arabia Financial

BNP Pariba Investment Company

73 Greenstone Saudi Arabia LLC 6 67% 8 75% 8 63% 7 57% 7 57%

76 Black Rock 7 29% 7 29% 7 29% 9 44% 11 55%

Morgan Stanley Saudi Arabia

80 UBS Saudi Arabia Company 18 56% 17 53% 17 53% 17 53% 17 53%

81 Itqan Capital Company 32 56% 32 56% 29 59% 29 41% 19 53%

Investcorp Saudi Arabia Financial

Credit Suisse Saudi Arabia

86 SaudiMed Investment Company 18 50% 17 53% 17 47% 16 50% 15 47%

87 Mizuho Saudi Arabia Company 11 45% 10 50% 11 55% 15 67% 11 45%

88 Team One Company 13 46% 12 42% 13 54% 13 54% 11 45%

89 Societe Generale Saudi Arabia 12 50% 12 50% 12 50% 11 45% 11 45%

90 EFG-Hermes-KSA 40 45% 40 45% 40 45% 40 45% 40 45%