Program Brief

This training program aims to prepare the participants with the knowledge and skills necessary to pass the exam for Saudi Capital Market Rules and Regulations- (Brokers)- (CME-3B), Passing both the “Securities” exam and the “Saudi Stock Market Rules and Regulations (Brokers)” exam is a mandatory by the Capital Market Authority that is provided in cooperation with the Chartered Institute for Securities & Investment (CISI), for all persons to be registered to perform local or international stock brokerage functions in all their job categories with the Capital Market Institution. This training program covers topics related to the brokerage function such as the Market Conduct Regulations which covers for example legislations related to the prohibition of manipulative and deceptive acts or practices and insider trading.

Program Topic
  • Sales and Marketing
Job Families
Program Goals

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

  • Passing the professional exam to obtain the Certificate of Saudi Capital Market Rules and Regulations- (Brokers)- (CME-3B).
  • Familiarity with the Regulations of trading, to be followed when practicing related operations.
  • Understanding market behavior and financial market institutions to identify and avoid behavior or practices that constitute manipulation or misleading.
  • Being fully aware of what is meant by market manipulation and insider trading.
Program Agenda
Module 1: Market Conduct Regulations
  • 1 Prohibition of Manipulative and Deceptive Acts or Practices

    • 2 Insider Trading

      Module 2: Capital Market Institutions' Conduct
      • 1 Market Manipulation and Insider Trading

        • 2 Handling Client Orders

          • 3 Conduct of Business

            Program Requirements

            Not Available

            Program Path

            Names of the training programs that are integrated (enriched) with the training program:

            • Not Available

            Names of the training programs that after the training program:

            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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