Program Brief

This training program aims to prepare participants with the knowledge and skills necessary to pass the Exam for Saudi Capital Market Rules and Regulations (Compliance and Anti-Money Laundering)- (CME-2B), it is a CMA mandated exam that is provided in cooperation with the Chartered Institute for Securities and Investment (CISI). Passing both exams of (CME-2A) and (CME-2B) is required for all persons to be registered to perform the work of compliance and/or anti-money laundering and terrorist financing functions. This training program covers several regulations such as the Capital Market Institutions Regulations, Investment Funds Regulations, Market Conduct Regulations, rules related to corporate finance, Investment Accounts Instructions as well as Anti- Money Laundering and CTF

Program Topic
  • Compliance and Anti-Financial Crimes
Job Families
Program Goals

At the end of the training program, the participant should be able to:

  • By the end of this program, the participant will be able to
Program Agenda
Module 1: Capital Market Institutions
    1. Maintenance of Authorization
      2. Withdrawing or Cancelling Authorization
        3. Securities Advertisements
          4. Client Money and Assets
            5. Client Statements
              Module 2: Investment Funds Regulations
              • 1 1. Investment Funds Regulations

                • 2 2. Real Estate Investment Funds Regulations (Public Funds)

                  Module 3: Market Conduct Regulations
                  • 1 1. Introduction

                    • 2 2. Capital Market Institutions’ Conduct

                      Module 4: Corporate Finance
                      • 1 1. Rules on the Offer of Securities and Continuing Obligations

                        • 2 2. Continuing Obligations

                          • 3 3. Parallel Market Offering

                            Module 5: Investment Accounts Instructions
                            • 1 1. Opening an Investment Account

                              Module 6: Anti-Money Laundering
                              • 1 1. Introduction

                                • 2 2. Preventative Measures

                                  • 3 3. Due Diligence

                                    • 4 4. Enhanced Due Diligence (EDD)

                                      • 5 5. Cross-Border Correspondent Relationships

                                        • 6 6. Detecting and Reporting Money Laundering

                                          Module 7: Countering Crimes of Terrorism and the Financing of Terrorism
                                          • 1 1. Risk Assessment

                                            • 2 2. Due Diligence

                                              • 3 3. Suspicious Activity Reporting Requirements

                                                • 4 4. Tipping Off

                                                  Program Requirements

                                                  Not Available

                                                  Program Path

                                                  Names of the training programs that are integrated (enriched) with the training program:

                                                  • Not Available

                                                  Names of the training programs that after the training program:

                                                  • Not Available
                                                  Program Method
                                                  • Lecture
                                                  • Case Studies
                                                  • Dialogue Teams
                                                  Evaluation Method
                                                  • Pre Exam
                                                  • Post Exam
                                                  • Simulation Test for professional exam
                                                  Training Type
                                                  • In Class Training
                                                  • Online Training

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