English abstract
The world of commerce and securities trading in particular is witnessing a continuous
development, which prompts investors to search for financial intermediaries to help them
achieve their desires in trading securities in the stock market, as the Omani legislation and
comparative legislation have restricted the practice of trading securities to licensed brokers
only. The Omani and Egyptian legislators restricted them to the legal person only, while the
Jordanian legislator authorized the practice of this activity by natural persons in addition to
the legal person, so resorting to financial intermediaries became mandatory in these
countries, which led to an increase in dealing with these intermediaries and the emergence
of many financial and legal risks facing investors, and this requires the existence of a
regulatory framework for the work of these intermediaries. Damage to third parties, such as
other mediators, and then his tort responsibility arises here, which entails many effects on
the contractual and tort liability of the financial intermediary.
In the absence of legislative regulation of the financial intermediary's civil liability in
the special laws regulating the work of the financial intermediary, including the Omani
Securities Law No. 46/2022, we need to root this issue by referring to the general rules of
the civil law and imbuing its provisions on the status of the financial intermediary, therefore,
this thesis aims to clarify the concept of the financial intermediary and distinguish it from
others, to know the effects of the mediation contract, to define the obligations of the financial
intermediary, and to reach an adequate legal regulation of the civil liability of the financial
intermediary. The study dealt with the responsibility of the financial intermediary through
two chapters preceded by an introductory topic, and a conclusion that included several
results, which we followed with a number of recommendations
