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(4.0/ 5) 156 Reviews
Join the preparation program to acquire the knowledge and skills needed to pass CME-1B Exam.
(4.0/ 5)
156 Learner Rating
This training program aims to prepare participants with the knowledge and skills necessary to pass the mandatory exam for Saudi Capital Market Rules and Regulations- (General Chapter)- (CME-1B), This exam This exam is mandatory by the Capital Market Authority that is provided in cooperation with the Chartered Institute for Securities & Investment (CISI) to those who wish to work in the capital markets. This training program gives an overview of the Saudi capital market. In addition, it covers the most prominent topics related to the CMA regulations, such as the Securities Business Regulations, the Capital Market Institutions Regulations, in addition to the Anti-Money Laundering and Counter-terrorist Financing rules, prohibitions and systems and controls.
Capital Market
Trading and Investment
Not Exist
Lecture
Case Studies +2
Lecture
Case Studies
Dialogue Teams
Exercises and assignments
Other
Portfolio/Fund Analysts
Portfolio/Fund Analysts
This provides you with the opportunity to select the available times that suit you best for participation in our program. These times represent slots during which we are ready to welcome you and provide assistance and guidance.
Online Training
Securities
Capital Market Authority
The Exchange
The Securities Depository Center
Online Training
The Securities Business
Exclusions from Authorization
Securities Advertisements
Online Training
Acquiring Authorization
Maintaining Authorization
Online Training
Capital Market Institutions
Investment Funds and Collective Investment Schemes (CISs)
Prospectus Disclosures
Rules on the Offer of Securities and Continuing Obligations
Issuer Representatives
Advisors to the Issuer
The Rules for Special Purposes Entities (SPEs)
Corporate Governance Regulations
Online Training
Anti-Money Laundering (AML) Law
Preventative Measures
Detecting Money Laundering
Failure to Comply
Combating Terrorism Crimes and its Financing Law
Record-Keeping Requirements
Penalties for Non-Compliance
Online Training
Untrue Statements
Manipulation and Insider Trading
General Sanctions and Penalties for Violations
Online Training
Registrable Functions
Accepting Clients
Inducements
Suitability
Online Training
Managing Conflicts of Interest
Reporting to Clients
Client Records
Management Arrangements
Understanding the Saudi capital market and its key components, as well as the roles of its regulatory and operational entities.
Applying the provisions of the Securities Business Regulations related to licensed activities and their exemptions, along with licensing requirements and their ongoing obligations.
Understanding the regulatory requirements for capital market institutions and investment funds, disclosure requirements in offering prospectuses, rules for securities offerings and ongoing obligations, and corporate governance.
Applying Anti-Money Laundering and Counter-Terrorism Financing laws, including preventive measures, detection of financial crimes, record-keeping requirements, and penalties for non-compliance.
Distinguishing prohibited market behaviors and false statements, market manipulation, insider trading, and the related penalties.
Applying the provisions of the Capital Market Institutions Regulations and supervisory rules and procedures related to client onboarding, suitability, incentives, management of conflicts of interest, and client records.
