Program Brief

This training program aims to prepare participants with the necessary knowledge and skills to pass the exam for Securities (CME-3A). This exam is mandatory by the Capital Market Authority that is provided in cooperation with the Chartered Institute for Securities & Investment (CISI), for all Persons intended to be registered to perform local or international stock brokerage work in all their job categories with the Capital Market Institution. This training program focuses on topics related to the work of brokers such as stocks and debt instruments, accounting analysis and investment management. In addition to enabling participants to apply the correct method for analyzing companies and stocks, as well as to learn about the necessary procedures for trading, clearing and settlement operations.

Program Topic
  • Sales and Marketing
Job Families
Program Goals

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

  • First goal
  • Second Goal
  • Third Goal
  • Fourth Goal
  • Fifth Goal
  • Sixth Goal
Program Agenda
Module 1: The Financial Services Sector
  • 1 1. Introduction

    • 2 2. Professional and Retail Business

      • 3 3. Participants- Retail Sector

        • 4 4. Participants- Wholesale Sector

          Module 2: Asset Classes
          • 1 1. Equities

            • 2 2. Debt Instruments

              • 3 3. Government Debt

                • 4 4. Corporate Debt

                  • 5 5. Cash Assets

                    • 6 6. Eurobonds

                      • 7 7. Other Securities

                        • 8 8. Foreign Exchange (FX)

                          • 9 9. Collective Investment Schemes (CISS)

                            • 10 10. Structured Products

                              Module 3: Capital Market
                              • 1 1. The Primary and secondary markets

                                Module 4: Primary Markets
                                • 1 1. Types of Offers

                                  • 2 2. Participants in an Equity Offering Securities

                                    • 3 3. Stock Exchanges

                                      • 4 4. Bond Offerings

                                        Module 5: Secondary Markets
                                        • 1 1. Trading Venues

                                          • 2 2. Methods of Trading and Participants

                                            • 3 3. Stock Exchanges

                                              • 4 4. Indices

                                                • 5 5. Government Bonds

                                                  • 6 6. Corporate Bond Markets

                                                    • 7 7. Dealing Methods

                                                      Module 6: Corporate Actions
                                                      • 1 1. Income Events

                                                        • 2 2. Capital Events

                                                          • 3 3. Capital Raising Events

                                                            • 4 4. Share Capital and Changes to Share Ownership

                                                              Module 7: Clearing and Settlement
                                                              • 1 1. Introduction to Settlement Systems

                                                                • 2 2. Settlement Models

                                                                  • 3 3. Custody

                                                                    • 4 4. Registered Title

                                                                      • 5 5. Designated and Pooled Nominees

                                                                        • 6 6. Cum- and Ex-Dividend

                                                                          • 7 7. Continuous Linked Settlement (CLS)

                                                                            • 8 8. Distributed Ledger Technology

                                                                              • 9 9. Stock Borrowing and Lending

                                                                                Module 8: Accounting Analysis
                                                                                • 1 1. Basic Principles

                                                                                  • 2 2. The Statement of Financial Position

                                                                                    • 3 3. The Income Statement

                                                                                      • 4 4. The Statement of Cash Flows

                                                                                        • 5 5. Additional Information

                                                                                          • 6 6. Financial Statement Analysis

                                                                                            Module 9: Investment Management
                                                                                            • 1 1. Risk and Reward

                                                                                              • 2 2. Institutional Investment Advice

                                                                                                • 3 3. Approaches to Investment

                                                                                                  Program Requirements
                                                                                                  • 1. Professional Exam for International Introduction to Securities and Investment- (CME-1A)

                                                                                                  1. Professional Exam for International Introduction to Securities and Investment- (CME-1A)

                                                                                                  • 2. Professional Exam for Saudi Capital Market Rules and Regulations- (General Chapter)- (CME-1B)

                                                                                                  2. Professional Exam for Saudi Capital Market Rules and Regulations- (General Chapter)- (CME-1B)

                                                                                                  Program Method
                                                                                                  • Lecture
                                                                                                  • Case Studies
                                                                                                  • Practical Implementation
                                                                                                  • Exercises and assignments
                                                                                                  Evaluation Method
                                                                                                  • Pre Exam
                                                                                                  • Post Exam
                                                                                                  • Simulation Test for professional exam
                                                                                                  Training Type
                                                                                                  • In Class Training
                                                                                                  • Online Training

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