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StakeholderCouncil

Chairman Boardof CommissionersGeneral Secretary for the

Board of CommissionersInternal Audit

STEERING

SUPPORT CORE

MANAGEMENTCOMMITTEE

Media & InventorAwareness

Public Relations

IT

Chairman’s Office

CMA HQ Project

EnforcementCorporate Services

InvestigationAuthorization

Inspection

Securities ListingStrategy & Program

ManagementHuman Resources

Division

Legend

Unit

Development

Regulation

Legal

Finance

Premises & ServicesManagement

Procurement& Contracts

Merger & Acquisitions

Mutual Funds

FinancialInstrument

Operational Excellence

Research

Risk Management

Prudential

Compliance &Anti-Money Laudering

Prosecution

ElectronicEnforcement

InvestorsComplaints

Enforecementfollow-up

Legal Affairs

Rules Regulations& Int’l. Standards

Legal Advice &Opinions

Contracts &Agreements

Litigation(Defense)

Surveillance

ContinuousDisclosure

CorporateGovernance

Market SupervisionCapital Market

InstitutionsSupervision

Strategy & ResearchCorporate Finance

& Issuance

Chairman/CEO

International Relations& Organizations

Department

.

0

20

40

60

80

100

7

13

93

64

1 2 1 30 1 1 0 4

13

2010

2009

Priv

ate

Plac

emen

ts

Publ

ic O

fferi

ngs

Rig

ht Iss

ues

Deb

t In

stru

men

ts

Cap

ital

Red

uction

Bonu

s Sh

ares

Acq

uisi

tions

0

5

10

15

20

3.8 3.9

17.9

19.1

0.4

1.4

7.07.7

2010

2009

Priv

ate

Plac

emen

ts

Publ

ic O

fferi

ngs

Righ

t Is

sues

Deb

t In

stru

men

ts

SR B

illio

n

0 200 400 600 800 1000 1200

612

650

1020

128

222

30

514

243

413

Al Jouf Cement C

o.

Knowledge Economic City

Amana Cooperati

ve Insurance Co.

Solidarity Sa

udi Takaful Co.

Wataniya

Insurance Co.

Al Hassan Ghazi

Ibrahim Shake

r Co.

Al-Soraya

i & Industrial G

roup Co.

Herfy Food Servic

es Co.

Abdullah A. M. Khodari

Sons Co.

SR Million

0 5 10 15 20

1.4

2.0

1.7

4.5

3.0

20.0

3.1

3.4

2.8

Level of Over Subscription

Al Jouf Cement C

o.

Knowledge Economic City

Amana Cooperati

ve Insurance Co.

Solidarity Sa

udi Takaful Co.

Wataniya

Insurance Co.

Al Hassan Ghazi

Ibrahim Shake

r Co.

Al-Soraya

i & Industrial G

roup Co.

Herfy Food Servic

es Co.

Abdullah A. M. Khodari

Sons Co.

Al Jouf Cement C

o.

Knowledge Economic City

Amana Cooperati

ve Insurance Co.

Solidarity Sa

udi Takaful Co.

Wataniya

Insurance Co.

Al Hassan Ghazi

Ibrahim Shake

r Co.

Al-Soraya

i & Industrial G

roup Co.

Herfy Food Servic

es Co.

Abdullah A. M. Khodari

Sons Co.

0 500 1000 1500 2000

342.8

1633.0

1968.4

1048.3

1242.1

1144.3

743.2

1439.5

745.1

Thousand Subscribers

0 1000 2000 3000 4000 5000 6000 7000

6300.0

3705.9

45.0

60.0

25.0

30.0

460.7

506.8

115.0

230.0

102.0

153.0

60.0

78.4

10.0

20.0

Allianz Saudi Fransi Insurance Co.

Saudi Pharmaceutical Industry

& Med. Appliances Corp.

Almaria Co.

Saudi Cement Co.

The National Co. for Glass Industries

National Industrializatio

n Co.

Zamil Industrial Investment Co.

Kingdom Holdings Co.

Million Shares

Post Capital Change

Prior to Capital Change

0

1

2

3

4

5

6

7

2.1

3.1

2.0

2.7

0.81.0

5.3

6.1

2009

2010

ATMsBank BankingInternet BankingPhone Banking

0%

10%

20%

30%

40%

50%

20.9%

24.7% 23.9% 23.3%

10.4%8.2%

44.8%43.8%

2010

2009

ATMsBank BranchesInternet BankingPhone Banking

4087

84 82

3938

Up to the End of 2009Up to the End of 2010

Resolved

Under Consideration

0

2,000

4,000

6,000

8,000

10,000

12,000

14,000

3,000

13,000

5,000

7,725

7,000

20102009200820072006

SR M

illio

n

0%

20%

40%

60%

80%

100%

0.03% 0.1%

99.97% 99.89%2009

2010

Financial InstitutionsIndividuals

0

20

40

60

80

100

120

140

160

151 154

6 6

6156

6 6

3027

2 2 3 8 87

2009

2010

OtherCapital ProtectedBalancedFunds of FundsReal EstateMoney MarketsDebt InstrumentsEquities

0%

10%

20%

30%

40%

50%

60%

70%

33.2% 32.7%

0.2% 0.2%

60.9% 61.3%

2.5% 1.6% 2.1% 2.8%0.1% 0.1% 0.2% 0.4% 0.8%0.7%

2009

2010

OtherCapital ProtectedBalancedFunds of FundsReal EstateMoney MarketsDebt InstrumentsEquities

-40%

-35%

-30%

-25%

-20%

-15%

-10%

-5%

0%

5%

10%

15%

2.9%

-39.2%

9.1%

2.2%

8.3%5.8%

10.2%

Other In

ternat

ional Eq

uities

Europe

an Eq

uities

US Equ

ities

Asian E

quitie

s

Local

Equit

ies

GCC Equit

ies

Arab Equities

0%

5%

10%

15%

20%

25%

30%

22.2%

24.7% 25.0%

29.3%

5.8%5.0%

3.9% 4.0%

6.3%

7.8%

0.5%

1.8%

10.7%10.1%

0.2% 0.03% 0.3% 0.4%

7.0% 6.5%

7.9%

5.9%

2.6% 2.4%

0.1%

6.5%

1.4%

0.1% 0.002% 0.0002%0.9% 0.6%

2009

2010

Communica

tion &

Inform

ation T

echno

logy

Banks a

nd Fi

nancia

l Serv

ices

Petro

chemica

l Indu

stries

Cemen

tReta

il

Agricul

tural a

nd Fo

od Ind

ustrie

s

Energ

y and

Utili

ties

Media a

nd Pu

blishin

g

Multi-In

vestm

ent

Insura

nce

Building

& Const

ructio

n

Real Es

tate D

evelopm

ent

Transp

ortatio

n

Indust

rial In

vestm

ent

Hotels a

nd To

urism

Others

0%

10%

20%

30%

40%

50%

60%

70%

80%

77.2% 77.5%

0.04% 0.03%

19.2% 18.9%

1.3% 1.0% 1.8% 2.0%0.2% 0.2% 0.03% 0.3% 0.1%0.2%

2009

2010

OthersCapital ProtectedBalancedFunds of FundReal EstateMoney MarketDebt InstrumentsEquities

0

500

1,000

1,500

2,000

2,500

3,000

2,536

2,242

249 25010 9

2010

2009

Average Daily ReportsNumber of Trading DaysNumber of Trading Surveillance

Activities Reports

0

200

400

600

800

1,000

1,200

1,400

1,234

1,311

42 41

2010

2009

Suspected Violations Intensive scans for Trades and Deals Alerted

0

20

40

60

80

100

97

86

36

41

2010

2009

Financial Statements with Qualified Audit Reports

for the Preceeding Year

Financial Statements with Unqualified Audit Reports

for the Preceeding Year

0

20

40

60

80

10098

94

40 40

20102009

Quarterly Financial Statements withQualified Audit Reports

Quarterly Financial Statements withUnqualified Audit Reports

0

100

200

300

400

500

600

700

800

767746

9 2 4 17 2 0

640

551

163125 124 134 135 138

93

23

316

617

2010

2009

Other Materia

l Developments or E

vents

Approval on New Products

Any Changes in the Composition of C

orporate

Boards of Dire

ctors and Top Management

Explanatory Announcements

Invitatio

n to Atte

nd General Assemblies, and the

Announcements Related to their O

utcomesFinancial R

esults

Corporate Boards of Dire

ctors Recommending

Capital In

crease through Rights Issues

Corporate Boards of Dire

ctors Recommending Capital

Increase through Bonus Shares Issues

Corporate Boards of Dire

ctors Recommending Capital D

ecreases

Distributio

n of Profits

0

100

200

300

400

500

600

700

356

606

146

ExecutiveIndependentNon-Executive

0

20

40

60

80

100

120

140

160

180

200

74

181

164

Outside the BoardIndependentNon-Executive

0

20

40

60

80

100

120

140

160

149

117

14 13

2832

87

59

98

1562009

2010

Other ComplaintsInvestment PortfoliosExecution of

Transactions

Investment FundsFacilities and Murabaha

Contracts

32% 9%

59%53%

31%16%

At the End of 2009At the End of 2010

Resolved

Notifications/Notices Prepared

Under Examination

0

20

40

60

80

100

90

69

21

57

2009

2010

Not ServedServed to Complainants

0

30

60

90

120

150

180

210

26 29 2517

2723

79

184

2009

2010

FinalizedFinal InvestigationSubpoenaing and

Interrogation

Fact Finding and

Evidence Gathering

0

50

100

150

200

250

300

157

253

157

220

2009

2010

Finalized Investigation CasesFiled Investigation Cases

0

10

20

30

40

50

60

70

4138

19

67

2 3 6

54

4 3

55

39

2 6

0 2 3

9

3

7

15

78

17

2009

2010

Ownersh

ip of P

ercen

tages

without

Notifying

the C

MA

Manipu

lation a

nd M

isleadi

ng Inf

ormati

on

Disclosur

e Violat

ion

Inside

r Trad

ing

Violations

by Auth

orized

Perso

ns

Tradin

g duri

ng Pro

hibite

d Peri

od

Conduct

ing Se

curitie

s Busi

ness

and In

vestm

ent o

f Fun

ds with

out Lic

ense

Violation o

f CMA Board

Resolut

ion

Violation o

f the O

ffers

of Secu

rities

Regulat

ions

Other V

iolations

of the L

isting

Rules

Violation o

f the I

nvestm

ent/ R

eal Es

tate F

unds

Regulat

ions

Violation o

f the C

orporat

e Gover

nance

Regulat

ions

0

10

20

30

40

50

60

34

44

28

49

4 4

10

25

7

12

53

37

3 40 3

68

0

7

12

0

8

19

2009

2010

Ownersh

ip of P

ercen

tages

without

Notifying

the C

MA

Manipu

lation a

nd M

isleadi

ng Inf

ormati

on

Disclosur

e Violat

ion

Inside

r Trad

ing

Violating

the “

Authoriz

ed Pe

rsons

Regulat

ions”

Tradin

g Duri

ng Pro

hibite

d Peri

od

Conduct

ing Se

curitie

s Busi

ness

and In

vestm

ent o

f Fun

ds with

out Lic

ense

Violation o

f the C

MA Board Reso

lutions

Violating

the “

Offers

of Secu

rities

Regulat

ion”

Other V

iolations

of the L

isting

Rules

Violating

the “

Invest

ment/R

eal Es

tate F

unds

Regulat

ions”

Violating

the “

Corporat

e Gover

nance

Regulat

ions”

95.3%90.7%

7.0%2.3%

2.3%

2.3%

Websites and Internet Forums

Individuals or Groups(Cell-phone Recommendations)

Audio-Visual Media

20092010

0

2

4

6

8

10

12

14

16

14

9

7

8

2

1

2009

2010

Manipu

lation a

nd Crea

ting M

isleading

Impre

ssion

Conduct

ing Se

curitie

s Busi

ness w

ithout

Licens

e

Grievan

ces Agai

nst th

e CMA Board

Resolut

ions/Deci

sions

67.4%85.4%

32.6%

14.6%

CMA Board

CRSD and ACRSC

20092010

Enforcement being Followed upEnforced

0

20

40

60

80

100

120

140

52

126

0 0

Capital Market

Unlicensed Investment of Funds

0

4

8

12

16

20

12

4 4

13

12

17

2009

2010

Revocation or Cancellation of LicenseAmendment to LicenseNew License Issued

0

20

40

60

80

100

120

85 90

257

20102009

Authorized but not Issued Letter to Commence Business

Authorized and Issued Letter to Commence Business

0

50

100

150

200

250

300

350

400

450

75

9988

67 65

75

71 71

95 86

20102009

Custody Advising Arranging Managing Dealing

55 55

109

2234

7

8

3 4

2010 2009

All Activities

Four Activities

Three Activities

Two Activities

One Activity

0%

20%

40%

60%

80%

100%

73.6%

20.9% 17.2%

62.1%

5.5%

20.7%

20102009

Routine

Initial

Cause

0

10

20

30

40

50

60

70

80

90

100

12

93

210

111

PenalAdministrativeCivil

Cases filed in 2010

Finalized cases filed in 2010

0

50

100

150

200

250

97

226

6 1033

28

2010

2009

PenalAdministrativeCivil

0

25

50

75

100

125

150

175

200

57

178

4 4 14 5

2010

2009

PenalAdministrativeCivil

94.4% 94.7%

5.6% 5.3%

2010 2009

Penal

Civil