Saudi Arabia
Egypt
UAE
Canada
Preparation Course: CME2
By the end of this course, participants will be able to:
· Understand the Saudi Capital Market Rules and Regulations for Compliance and Anti-Money Laundering and Combating the Financing of Terrorism
· Master the performance of conformity and compliance functions
· Master the performance of conformity and anti-money laundering and combating the financing of terrorism functions
· Understand the legislative aspect of compliance and combating money laundering and terrorist financing
· Be able to pass the first part exam, the passing score in the first part is 70%
· Be able to pass the second part exam, the passing score in the second part is 72%
Part One
1 Parts
- Chapter One: The International Regulatory Environment It constitutes 20 % of the relative weight of the test.
- Chapter Two: Compliance Control Function 24 % of the relative weight of the test.
- Chapter Three: Financial Crime Risk Management 20 % of the relative weight of the test.
- Chapter Four: Ethics, Honesty and Integrity 19 % of the relative weight of the test.
- Chapter Five: Governance, Risk Management and Compliance Control 17 % of the relative weight of the test.
Part Two
1 Parts
- Chapter One: Introduction to the Saudi Capital Market: 7% of the relative weight of the test.
- Chapter Two: Securities Business Regulations: 2% of the relative weight of the test.
- Chapter Three: Licenses: 2% of the relative weight of the test.
- Chapter Four: Regulatory Requirements: 13% of the relative weight of the test.
- Chapter Five: Anti-Money Laundering and Combating the Financing of Terrorism Laws: 5% of the relative weight of the test.
- Chapter Six: Prohibited Behaviors: 7% of the relative weight of the test.
- Chapter Seven: Regulations of Capital Market Institutions: 6% of the relative weight of the test.
- Chapter Eight: Control Systems and Procedures: 4% of the relative weight of the test.
