CME-1A · International Introduction to Securities and Investment · Financial Services Sector · Economic Environment · 6% · 8%
Financial institutions; Inflation and interest
Financial Academy / CISI · Securities and investment
Training for CME-1 Securities and Investment (CME-1)
CME-1 combines knowledge of investment products with the rules that govern dealing in them in Saudi Arabia. The training starts with international financial concepts, moves to the CMA’s regulations, and ties each rule to a situation staff face in a capital market institution.
- Credential
- CME-1
- Specialty
- Securities and investment
- Next step
- Discuss the curriculum and study options with our team.
About the training
Connect specialist knowledge to practice.
CME-1 combines knowledge of investment products with the rules that govern dealing in them in Saudi Arabia. The training starts with international financial concepts, moves to the CMA’s regulations, and ties each rule to a situation staff face in a capital market institution.
What will you learn?
- 01
Explain a product to a client: Its features and risks, in plain language.
- 02
Recognize prohibited conduct: Before it becomes a breach.
- 03
Spot suspicious indicators: And know the right reporting step.
- 04
Order revision by weight: Starting with the heaviest topics in each exam.
Is this training right for you?
- Work at a capital market institution: And need the exam covering your role’s general functions.
- Are moving from banking to investment: And want a base in products and rules together.
- Are a finance or economics graduate: Preparing to enter the Saudi securities sector.
- Work in compliance or operations: And need a structured view of CMA regulations.
- Investment client officer
- Explains products to clients and takes their orders.
- Securities operations officer
- Handles settlements and follows client accounts.
- Compliance assistant
- Checks procedures against CMA regulations.
- Fund sales officer
- Presents funds and checks their suitability for the client.
Topics and applications
Your training map in detail.
CME-1A · International Introduction to Securities and Investment · Equity · 18%
Share types and rights; Issue and trading
CME-1A · International Introduction to Securities and Investment · Bonds · 14%
Bond types and features; Yield, interest rates and risk
CME-1A · International Introduction to Securities and Investment · Investments and Other Markets · Derivatives · 10% · 8%
Futures and options; Other asset classes
CME-1A · International Introduction to Securities and Investment · Investment Funds · Other Financial Products · 12% · 8%
Fund structures; Retail products
CME-1A · International Introduction to Securities and Investment · Regulations and Ethics · Financial Advice · 10% · 6%
Conduct and ethics; Client suitability
CME-1B · General Saudi Capital Market Rules and Regulations · Introduction to the Saudi Capital Market · Capital Market Institutions Regulations · 14% · 12%
The market law and the CMA’s role; Obligations of market institutions
CME-1B · General Saudi Capital Market Rules and Regulations · Securities Business Regulations · Licensing · 12% · 4%
Types of securities business; Licensing requirements
CME-1B · General Saudi Capital Market Rules and Regulations · Regulatory Requirements · Supervisory Systems · 26% · 8%
Disclosure and client protection; Internal control systems
CME-1B · General Saudi Capital Market Rules and Regulations · Prohibited Behaviours · AML/CTF · 14% · 10%
Insider dealing and manipulation; Reporting suspicious transactions
Investment products
Shares, bonds, derivatives and funds: how each works, how it is priced, and its risks to the client. A retired client asks for a high return with no risk.
The Saudi regulatory framework
The Capital Market Law, securities business, licensing and the requirements on market institutions. An unregistered colleague advises a client on your behalf.
Conduct and compliance
Insider dealing, manipulation, anti-money laundering and terrorist financing, and the duty to report. A new client makes repeated cash deposits just under a threshold.
How to organize your study
- Start with CME-1A: International concepts are the base for the rules.
- Give equity and bonds their time: Together about a third of the first exam.
- Close funds and derivatives: With a short numeric example for each.
- Move to CME-1B: Begin with Regulatory Requirements, its heaviest topic.
- Fix prohibited conduct: Insider dealing, manipulation and AML indicators.
- Revise by weight and error: Redo every missed question and write the rule.
Before applying for the credential
General functions: CME-1 covers the General Registrable Functions with the CMA; confirm your role’s requirement with your employer. Exam language: Each exam is offered in Arabic or English. Prerequisites: Check with the Financial Academy at registration.
Credential-owner reference ↗Questions about this specialty
What does CME-1 training focus on?
The topics cover capital-market regulation, offers, listings and funds, instruments and the economy, analysis and valuation, market operations, compliance and governance, with application connecting knowledge to work.
How can I check the level fits me?
Compare your responsibilities with the topics and roles, then discuss your background and securities and investment goals with our team.
How should I plan my study?
Set your weekly time and baseline knowledge, prioritize weaker topics and use regular application and spaced revision.
Where do I check credential requirements?
Use the credential-owner reference in this guide. Exam fees and registration are separate from training unless an approved offer explicitly states otherwise.
Training guide
Keep the details in Arabic or English.
Audience, learning outcomes, topics and study approach in one structured guide. Find study and enrolment details on the page or with our team.
Choose your pathway with a clear next step.
Use the WhatsApp button on this page to discuss study formats and available dates with Vertex. Program details and price are confirmed before enrolment.
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