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(4.0/ 5) 5 Reviews
Elevate your professional capabilities with our training program, specifically designed to prepare you for the Professional Exam of Trader (Registered Broker). Master the Saudi Capital Market, embrace top-tier professional conduct, and operate trading systems with confidence. Step into a future of excellence and success in the world of trading.
(4.0/ 5)
5 Learner Rating
This training program serves as a key step in preparing qualified professionals to practice financial brokerage in the Saudi capital market. It provides a comprehensive knowledge framework covering trading regulations, the roles of market participants, and the authorities of the Capital Market Authority over its members. The program also strengthens participants’ understanding of proper professional conduct, mechanisms to safeguard the market from irregular practices, and offers practical training on order types, execution rules, and effective interaction with trading systems. The program delivers direct practical value by building a solid foundation of knowledge and skills that enable participants to successfully pass the Registered Broker/Dealer Certification Exam and confidently engage in the work environment of brokerage firms and investment banks.
Banking
Capital Market
Insurance
Financing
Strategy, Planning, and Quality
Not Exist
Self Learning
Training Objectives
The Role and Objectives of Financial Markets
Key Entities Involved in the Regulatory Role of the Saudi Capital Market
Historical Overview of the Saudi Capital Market
Regulatory Framework of the Saudi Capital Market
Investment Instruments Available in the Saudi Capital Market
Case Study
Interactive Activity
Module Summary
Module Assessment
Introduction
Training Objectives
Financial Brokerage
Financial Market Institutions in the Saudi Capital Market
Case Study
Interactive Activity
Module Summary
Module Assessment
Introduction
Training Objectives
Market Behaviors – Preventing Market Manipulation
Insider Trading
False or Misleading Information
Conduct of Financial Market Institutions
Authorities of the Saudi Capital Market Over Market Members
Case Study
Interactive Activity
Module Summary
Module Assessment
Introduction
Training Objectives
Trading and Membership Rules
Rules for Regulating Market Membership
Responsibilities of Market Members
Registered Traders
Suspension and Cancellation of Membership
Case Study
Interactive Activity
Module Summary
Module Assessment
Introduction
Training Objectives
Trading System Rules
General Provisions of Trading and Membership Rules
Rules for Short Selling of Securities
Rules for Lending Listed Securities
Case Study
Interactive Activity
Module Summary
Module Assessment
Introduction
Training Objectives
Access to the Trading System
Trading Hours
Order Entry Channels
Types of Orders
Order Conditions
Order Validity
Order Transmission Requirements
Order Modification, Suspension, and Cancellation
Order Execution
Daily Price Fluctuation Limits
Definition of Negotiated Deal
Mechanism of Executing Negotiated Deals
Notification of Negotiated Deal Execution
Requirements for Negotiated Deals
Sell Orders
Buy Orders
Procedures for Suspending Trading of Listed Securities upon the Issuer’s Request
Procedures for Suspending Trading of Listed Securities when the Issuer Publishes its Financial Statements (Interim or Annual)
Procedures for Suspending Trading of Listed Securities when the Auditor’s Report Contains an Adverse Opinion or a Disclaimer of Opinion
Procedures for Suspending Trading of Listed Securities upon the Extraordinary General Assembly’s Decision to Reduce Capital
Cases of Off-Exchange Share Trading
Requirements for Allowing Off-Exchange Share Trading
Off-Exchange Share Trading
Case Study
Interactive Activity
Module Summary
Module Assessment
Knowing the principles of the brokerage profession as they are in the financial market regulations to ensure that they are applied on an ongoing basis.
Knowing market behavior and its types according to the list of behaviors to avoid behavioral violations.
Mastering the skills of trading and dealing with trading programs and systems to carry out operations with the required accuracy and speed.
Understand the Saudi Stock Exchange and the regulatory controls for trading securities to apply in the work environment.
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