Dealer Qualification Certificate CME-3
Chartered Institute for Securities & Investment
Aligned with CISI Standards – London
Integrating CMA regulatory requirements with CISI global standards
Course Overview
A concise overview of the program.
The CME-3 certification is designed for individuals seeking registration as securities brokers. It covers critical topics relevant to brokerage operations, with a primary focus on Market Conduct Regulations. This includes legal frameworks prohibiting practices that constitute market manipulation, deceptive conduct, and insider trading.
Course Content
What you will cover during this program.
Part 1: Securities (CME-3A)
The Financial Services Sector.
Investment Asset Classes.
Primary and Secondary Financial Markets.
Corporate Actions (Board Decisions).
Clearing and Settlement Processes.
Financial Statement Analysis.
Part 2: Saudi Capital Market Rules & Regulations - Securities Brokers (CME-3B)
Market Conduct Regulations.
Conduct of Business for Capital Market Institutions.
Course Objectives
What you will achieve by the end of this program.
- Gain the essential knowledge and skills required to successfully pass the CME-3 Securities Brokerage professional exam.
- Master the laws, regulations, and codes of conduct governing securities brokerage operations.
- Stay updated with the Capital Market Law and Investment Business Regulations to ensure full regulatory compliance.
- Understand the core mechanisms and infrastructure of securities markets.
- Develop the ability to evaluate securities and analyze stocks to support investors with data-driven decision-making.
- Acquire comprehensive knowledge of Anti-Money Laundering (AML) rules to ensure adherence within operational procedures.
Course Overview
A concise overview of the program.
The CME-3 certification is designed for individuals seeking registration as securities brokers. It covers critical topics relevant to brokerage operations, with a primary focus on Market Conduct Regulations. This includes legal frameworks prohibiting practices that constitute market manipulation, deceptive conduct, and insider trading.
Course Content
What you will cover during this program.
Part 1: Securities (CME-3A)
The Financial Services Sector.
Investment Asset Classes.
Primary and Secondary Financial Markets.
Corporate Actions (Board Decisions).
Clearing and Settlement Processes.
Financial Statement Analysis.
Part 2: Saudi Capital Market Rules & Regulations - Securities Brokers (CME-3B)
Market Conduct Regulations.
Conduct of Business for Capital Market Institutions.
Course Objectives
What you will achieve by the end of this program.
- Gain the essential knowledge and skills required to successfully pass the CME-3 Securities Brokerage professional exam.
- Master the laws, regulations, and codes of conduct governing securities brokerage operations.
- Stay updated with the Capital Market Law and Investment Business Regulations to ensure full regulatory compliance.
- Understand the core mechanisms and infrastructure of securities markets.
- Develop the ability to evaluate securities and analyze stocks to support investors with data-driven decision-making.
- Acquire comprehensive knowledge of Anti-Money Laundering (AML) rules to ensure adherence within operational procedures.
Target Audience
This program is designed for the following profiles.
Individuals seeking registration to perform local or international stock brokerage activities, across all job categories within Capital Market Institutions.