This training program aims to prepare participants with the knowledge and skills necessary to pass the test for the Certificate of Conformity and Compliance and AML/CTF (CME2). This certificate is a mandatory requirement by the Capital Market Authority of all persons registered or to be registered with the Capital Market Authority, to ensure that all compliance, compliance and AML/CFT employees have an advanced level of knowledge and skills that enable them to perform their work efficiently and effectively. The qualification program for the CME2 Certificate of Conformity and Compliance is designed to learn about laws and regulations to ensure that they are properly applied through risk management and an understanding of the job role of the compliance officer in risk management, anti-money laundering, anti-fraud and corruption and corporate governance.
At the end of the training program, the participant should be able to:
1 Definition, Concept and Scope
2 Commitment principles
3 Compliance and control functions
4 Commitment culture
1 Board of Directors
2 Administration
3 Compliance officer/compliance officer
4 Compliance and Compliance Committee
5 Audit and review committee
6 Audit (internal audit)
1 The regulatory framework for the Saudi stock market
2 Effective Compliance Infrastructure
3 Develop a comprehensive compliance program
4 Implement an effective compliance monitoring program
5 Separation using protective arrangements from information leakage (impervious barriers or Chinese fences)
1 Risks and risk management
2 Principles of risk management
3 Risks and Compliance Framework
4 Infrastructure for risk management
5 risk management tools
6 Monitor and review risks
7 Types of risks
1 Description of the money laundering process
2 Legislative and regulatory framework for combating money laundering and terrorist financing
3 Financial Action Group
4 Monitor suspicious operations
5 The role of authorized persons and the Money Laundering Reporting Officer in AML/CFT initiatives
6 Commitment to combating money laundering and terrorist financing and training
1 principles
2 licenses
3 Registered people
1 Doing business
2 Customer acceptance
3 Customer relationship
4 Reporting to clients
1 Control systems and procedures
2 Clients' money and assets
3 Customer Asset Rules
1 Preventing market manipulation
2 Trading based on inside information
3 Incorrect data
4 Conduct of authorized persons
1 Definitions
2 Anti-money laundering and terrorist financing requirements
3 Customer due diligence
4 Record keeping
5 Suspected operations
6 Policies, procedures, and internal controls
General Certificate in Securities Dealing Exam: Legislation - Part 1 (CME1)
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General Certificate in Securities Dealing Exam: Operations - Part Two (CME1)
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Names of the training programs that are integrated (enriched) with the training program:
Names of the training programs that after the training program:
Not Available
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