A CMA mandated exam that is provided in cooperation with the Chartered Institute for Securities and Investment (CISI). This exam provides persons to be registered to perform compliance and AML functions with the knowledge of the Capital Market Authority’s regulations. It covers several regulations such as the Capital Market Institutions Regulations, Investment Funds Regulations, Market Conduct Regulations, rules related to corporate finance, Investment Accounts Instructions as well as Anti- Money Laundering and CTF. Note: This certificate consists of two exams, and to obtain the CME certificate, you must pass both parts of the exam (A-B).
Passing both the “International Financial Compliance” exam and the “Saudi Stock Market Rules and Regulations (Compliance and Anti-Money Laundering and Terrorist Financing)” exam is required for all persons to be registered to perform the work of compliance and/or anti-money laundering and terrorist financing functions starting from February 1, 2023.
English
18 Degree
30 Minutes
FA , CISI
Arabic
18 Degree
30 Minutes
FA , CISI
Chapter 1: Capital Market Institutions: 20%
Chapter 2: Investment Funds Regulations: 16%
Chapter 3: Market Conduct Regulations: 12%
Chapter 4: Corporate Finance: 12%
Chapter 5: Investment Accounts Instructions: 8%
Chapter 6: Anti-Money Laundering: 20%
Chapter 7: Countering Crimes of Terrorism and Financing Terrorism: 12%
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