Exam Overview

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).

Target Audience

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.

Exam Profiles
Saudi Capital Market Rules and Regulations (Compliance and Anti-Money Laundering) - (English)
Exam Language

English

Degree of Success

18 Degree

Exam Duration

30 Minutes

Exam Owner

FA , CISI

Eductional Tutorial
Saudi Capital Market Rules and Regulations (Compliance and Anti-Money Laundering) - (Arabic)
Exam Language

Arabic

Degree of Success

18 Degree

Exam Duration

30 Minutes

Exam Owner

FA , CISI

Eductional Tutorial
Competencies and its Weights

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%

Exam Requirements

Not Available

Prerequisite Programs

Not Available

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