Exam Overview

The Broker-Dealer Qualification Certificate is a CMA mandatory exam. The objective of this exam is to ensure that all local or international brokerage/dealership functions of all job categories of all registered persons or those intending to register with CMA have an advanced level of knowledge and skills in this function.

Target Audience

Local or international brokerage/dealership functions of all job categories with an authorized person for all registered persons or those intending to register with CMA.

Job Families
Competencies and its Weights

Chapter 1: Understanding Securities Markets: 6%

Chapter 2: Buying and Selling of Securities: 8%

Chapter 3: Understanding Market Behavior: 5%

Chapter 4: Behavioral Finance: 3%

Chapter 5: Securities Valuation: 6%

Chapter 6: Stock Analysis: 7%

Chapter 7: Corporate Actions: 5%

Chapter 8: Capital Market Law: 5%

Chapter 9: Securities Business Regulations: 2%

Chapter 10: Authorized Persons Regulations - Authorization Process: 2%

Chapter 11: Authorized Persons Regulations - Conduct of Business: 9%

Chapter 12: Authorized Persons Regulations - Systems and Controls Requirements: 12%

Chapter 13: Market Conduct Regulations: 18%

Chapter 14: Anti-Money Laundering/Counter-Terrorist Financing Rules: 12%

Prerequisite Programs

Not Available

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إشارة إلى التعميم الصادر عن هيئة السوق المالية، نفيدكم بأنه سيقف العمل على هذا الاختبار بنهاية يوم الثلاثاء الموافق 31 يناير 2023م، وللحصول على هذه الشهادة فإنه يجب اجتياز اختبار (التشريعات واختبار العمليات) اعتبارًا من يوم الأربعاء1 فبراير 2023م، ويمكنكم الاطلاع عليها من خلال الروابط التالية:

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