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
At the end of the training program, the participant should be able to:
1 1. Investment Funds Regulations
2 2. Real Estate Investment Funds Regulations (Public Funds)
1 1. Introduction
2 2. Capital Market Institutions’ Conduct
1 1. Rules on the Offer of Securities and Continuing Obligations
2 2. Continuing Obligations
3 3. Parallel Market Offering
1 1. Opening an Investment Account
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
1 1. Risk Assessment
2 2. Due Diligence
3 3. Suspicious Activity Reporting Requirements
4 4. Tipping Off
Not Available
Names of the training programs that are integrated (enriched) with the training program:
Names of the training programs that after the training program:
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