Exam Overview

A CMA mandated exam that is provided in cooperation with the Chartered Institute for Securities and Investment (CISI). The General Saudi Capital Market Rules and Regulations is a foundational regulatory certificate that gives an overview of the Saudi capital market. In addition, it covers the most prominent topics related to the CMA regulations, such as the Securities Business Regulations, the Capital Market Institutions Regulations, in addition to the Anti-money Laundering and Counter-terrorist Financing rules, prohibitions and systems and controls. 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 the "Capital Market Regulations and Regulations (General Chapter)" exam is required of all persons to be registered with all their job categories with the Capital Market Institution except for the category (Securities Brokers), (People to be registered under management activity) and (Corporate finance specialists) Starting on February 1st, 2023.

Exam Profiles
Saudi Capital Market Rules and Regulations (General Chapter) - (Arabic)
Exam Language

Arabic

Degree of Success

35 Degree

Exam Duration

60 Minutes

Exam Owner

FA , CISI

Eductional Tutorial
Saudi Capital Market Rules and Regulations (General Chapter) - (English)
Exam Language

English

Degree of Success

35 Degree

Exam Duration

60 Minutes

Exam Owner

FA , CISI

Eductional Tutorial
Competencies and its Weights

Chapter 1: Introduction to the Capital Market Authority: 7%

Chapter 2: Securities Business Regulations: 2%

Chapter 3: Authorization: 2%

Chapter 4: Regulatory Activities: 13%

Chapter 5: Anti-Money Laundering and Counter- Terrorist Financing Rules: 5%

Chapter 6: Prohibitions: 7%

Chapter 7: Capital Market Institutions’ Regulations: 6%

Chapter 8: Systems and Controls: 4%

Exam Requirements

Not Available

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