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🇸🇦 Capital Markets Compliance
CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers
Prepare for the Saudi CME-4B examination covering investment funds, real estate investment funds and market conduct for asset managers.
125 Practice Questions Detailed Study Notes Realistic mock exams
Course syllabus information reviewed for 2026. Always check the awarding body’s latest official syllabus and candidate updates before booking or sitting your exam.
كل ما تتضمنه الدورة
- 125 سؤالاً تدريبياً ضمن 5 اختبارات تجريبية · محاولات غير محدودة
- التعلّم المركّز · مواضيع الاختبار والأخطاء الشائعة والفخاخ والأرقام المهمة
- بطاقات مراجعة ممتعة وفعّالة
- ورقة مراجعة مرتبة حسب الفصول
- تعلّم صوتي · جميع الفصول متاحة بصيغة صوتية
- محلل أداء وموجّه ذكي يحدد نقاط ضعفك
- وضع الدراسة · تعلّم أثناء التدريب
- دردشة ذكية مدرّبة خصيصاً على هذا الامتحان
- مواد دراسية مرتبة حسب المنهج
Full Chapter Audio Lessons New
Listen to extended lessons covering the examinable rules, numbers and traps in every chapter.
🎧 Audio
* This is a chapter sample. All audio is available in the full version.
Syllabus
Module 1: Investment Fund Regulations 14 marks out of 25
🎧 Audio
Chapter 1
- • Fund Management and Custody
- • Public, Private and Foreign Funds
- • Subscription, Pricing, Valuation and Redemption
- • Closed-Ended Investment Traded Funds
Module 2: Real Estate Investment Funds Regulations (Public Real Estate Funds) 8 marks out of 25
Chapter 2
- • Organisation, Governance and Fund Management
- • Assets, Custody, Valuation and Reporting
- • Restrictions and Real Estate Investment Traded Funds
Module 3: Market Conduct Regulations 3 marks out of 25
Chapter 3
- • Market Manipulation and Insider Trading
- • Direct and Indirect Trading and Liability
- • Investment Research and Recommendations
Student Reviews
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Based on 15 reviews
5 stars
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4 stars
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Real Reviews, Real Results
From finance professionals who prepared and passed their CISI exams.
Recent Reviews
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James L.
VERIFIED · Aug 4, 2026
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Trustpilot
Very realistic questions
The questions are very similar to the real test. I was worried about the time limit, but practicing with these mocks helped me manage my pace. Highly recommended!
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Emma R.
VERIFIED · Jul 31, 2026
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Google
Highly recommend
I tried reading the official book but it was too dense. These questions are challenging and the detailed feedback for every answer makes learning so much faster.
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Sarah M.
VERIFIED · Jul 30, 2026
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Trustpilot
Solid practice questions
Solid question bank that covers all the tricky parts of the syllabus. Better than just reading the textbook on my own.
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Badr K.
VERIFIED · Jul 23, 2026
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Clutch
Highly accurate questions
The mock exams perfectly mirror the style of the CMA test. The questions on valuation and pricing errors were particularly helpful.
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Nouf A.
VERIFIED · Jul 21, 2026
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Trustpilot
Fund governance made easy
The flashcards for fund board requirements and independent director rules saved me so much time. I passed my exam yesterday!
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Saad R.
VERIFIED · Jul 12, 2026
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Google
Saudi Asset Management prep
The distinctions between public and private fund regulations in KSA are highlighted perfectly. This course is essential if you are sitting the SCMR-AM.
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Sven S.
VERIFIED · Jan 22, 2026
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Clutch
Saudi valuation help
Passed my Saudi exam today! Flashcards are really helpful for the thresholds. Recommend to anyone in Riyadh banking.
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Nathan T.
VERIFIED · Jan 18, 2026
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Clutch
Saudi AM fund rules
Mutual fund regs in Saudi are dense but simplified here. Reallly helped with the licensing section. Pass marks reached!!
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Mohammed S.
VERIFIED · Oct 12, 2025
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Clutch
Saudi AM excelent
Asset management regs in Saudi are handled very well here. Helpful for my daily job too. Exam result: 81% 1st attempt. Easy.
Response from Exams Academy
Appreciate the kind words, Mohammed. Congrats on passing!
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Omar K.
VERIFIED · Sep 12, 2025
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Google
Saudi AM cert
Needed this for my job in Riyadh. The portal is super smooth and the questions are just like the real exam. Thanks!!
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Sven L.
VERIFIED · Sep 2, 2025
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Google
Saudi valuation prep
Passed my Saudi exam last week! Flashcards for the valuation regs are the best part hands down. Helped me memorize all those thresholds.
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Chloe B.
VERIFIED · Aug 7, 2025
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Clutch
Well structured am modules
Decision-making frameworks and mandate compliance are well structured in these notes. Reallly helped for the asset management exam. Passed!!
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Shreya G.
VERIFIED · Aug 3, 2025
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Google
Fund manager's helper
Personal account dealing and best execution rules for fund managers... Explained in great detail. Passed my scmr-am exam today!!
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Sofia S.
VERIFIED · Jun 5, 2025
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Trustpilot
Valuation finally clicked
navigating NAV calcs and pricing was hard but finally got it. Super vital for anyone in asset management . Pass marks were high too.
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Aisha B.
VERIFIED · Jun 5, 2025
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Trustpilot
NAV calcs simplified
Navigating NAV calcs and pricing rules was hard for me but finally clicked thanks to the videos. Vital for asset management roles. Passed!!
Interactive preview
Free CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers Practice Questions & Exam Preview
Try 15 CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers practice questions from Real Estate Investment Funds and REITFs
Practice CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers exam questions with answers and explanations. The full course includes 5 mock exams and chapter study tools.
Exam Preview
Real Estate Investment Funds and REITFs
Which entity is legally responsible for maintaining the original title deeds, material contracts, and accredited valuers' reports for a public real estate fund?
1 / 15
Flashcards
Card 1 of 10Investment Fund Regulations
Question
What is the fund manager's primary duty to unitholders?
Tap to reveal answer
Focus Learn
- Fund manager duties: fiduciary duty, act in best interest, liable for fraud/negligence/misconduct/wilful default.
- Financial statements: Arabic, semi-annual (reviewed) and annual (audited) per SOCPA standards.
- Fund termination: 21 days' notice before planned open-ended termination; 5 days to notify if event triggers termination; 70 days for final report; 12 months to liquidate unsold assets and distribute from fund expiry under amended Article 23(i); workbook v1.10 says six months.
- Custodian independence: must not be affiliate of fund manager; must be CMA-licensed for custody.
- Asset ownership: unitholders own collectively — not custodian, not fund manager.
- Asset segregation: separate bank account per fund; real estate registered in custodian's fully owned subsidiary.
- Real estate pledging: only to licensed lender that extended a loan TO the fund.
- Public fund board: minimum 3 directors, at least 2 or 1/3 independent; meets twice annually with the compliance committee or compliance officer.
- Public-fund limits: 10% single issuer, 10% illiquid, 15% leverage and 15% derivatives; a holding must not represent more than 20% of another fund's NAV, while no more than 25% of the public fund's own NAV may be invested in one fund or funds from the same CMI.
- Open-ended funds: minimum 2 dealing days per week; NAV-based redemption; 4 decimal places for unit prices.
Chapter 1: Investment Fund Regulations
The Investment Fund Regulations make the fund manager primarily responsible for managing the fund, offering its units and keeping its terms and conditions clear, complete, accurate and not misleading. The manager acts in a fiduciary capacity, puts unitholders' interests first, exercises care and skill and remains liable for loss caused by fraud, negligence, misconduct or wilful default. Delegating work never reduces that responsibility. The manager performs at least annual risk assessments and maintains a compliance monitoring programme for each fund. Financial statements are prepared in Arabic, whose text prevails if a translation conflicts. Public funds and private real estate funds prepare half-year statements reviewed under SOCPA standards and annual statements audited under those stan…
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Preparation Package at a Glance
| Feature | Exams Academy | Details |
|---|---|---|
| Access Period | Lifetime Access | One-time enrollment with no recurring fee |
| Practice Exams | Unlimited Retakes | 125 practice questions across 5 mock exams |
| Study Support | Instant 24/7 AI Tutor | Self-service AI support; live instructor support is not included |
| Cost | $104 (One-Time) | One-time payment with no recurring subscription |
Preview & See What You Will Get
Frequently Asked Questions
It is mapped to syllabus version 1.0 and the English workbook version 1.10 dated August 2026, valid for examinations through 31 December 2026.
Yes. Each mock contains 25 multiple-choice questions, lasts 30 minutes, requires 17 correct answers (68%) and uses the central official weighting of 14 Investment Funds, 8 Real Estate Investment Funds and 3 Market Conduct questions.
The course includes 125 practice questions across five timed mock exams with unlimited retakes. The fifth paper is a mixed review drawn from the first four.
The English learning material and practice bank are grounded in the current official Financial Academy/CISI workbook and the current Financial Academy exam specification.
You get lifetime access and can study at your own pace.
Yes. Use the official workbook as the primary source and this course for active recall, timed practice, explanations and focused revision.
Yes! Test your knowledge and review detailed explanations with the free CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers Mock Exam Preview below. It contains 15 exam-style questions from one named topic; the full course provides complete mock exams and syllabus coverage.
No. Saudi registered-person pathways use the Financial Academy's CME examinations. The required A technical unit and B rules-and-regulations unit depend on the registered function. Confirm the requirement with the employer and regulator before booking.
Use the Financial Academy page for the exact CME examination and language you intend to take. Assessment format, availability and fees differ by CME code, so confirm the selected examination page before booking.
Exams Academy course access is a separate US-dollar purchase. Official examination and workbook charges are not included; check the Financial Academy page for the exact CME examination before payment.
Key Benefits
Five Full Exam Simulators
Practise under the official 25-question and 30-minute conditions.
- ✓ Every paper uses the central 14/8/3 element weighting.
- ✓ The exact raw pass boundary is 17 correct answers (68%).
- ✓ Foundations, applied, advanced, final-practice and mixed papers.
125 Practice Questions
125 practice questions across five 25-question mock exams, including a mixed review.
- ✓ Every official learning objective is represented.
- ✓ Scenario-based questions test application as well as recall.
- ✓ Every answer includes a clear explanation.
Full Chapter Audio Lessons New
Study all three English chapters through extended taught lessons while travelling or revising away from a screen.
- ✓ Separate female and male narration choices.
- ✓ Lessons retain the examinable rules, distinctions, numbers and traps from the written teaching.
- ✓ Each chapter is taught in depth rather than reduced to a three-minute recap.
- ✓ Designed for flexible revision on mobile devices.
Listen to a sample
AI-Powered Study Assistant
Ask questions against the CME-4B course knowledge base while you study.
- ✓ Clarifies investment-fund and market-conduct rules.
- ✓ Available throughout the learning experience.
- ✓ Answers are grounded in the course material.
Rapid-Recall Revision Tools
Use 75 flashcards and 85 reference entries for focused final revision.
- ✓ Critical thresholds and reporting timelines.
- ✓ Clear distinctions between public, private and real estate funds.
- ✓ Mobile-ready for short study sessions.
Exam Format & Details
| Assessment | Multiple-choice examination |
| Duration | 30 Minutes |
| علامة النجاح القياسية | 68% |
CME-4B exam preparation for asset managers
Study the three official syllabus elements through focused summaries, rapid-recall resources and five timed practice papers. Every mock uses the official 25-question, 30-minute format, the central 14/8/3 element weighting and the published raw pass boundary of 17 correct answers (68%).
The 125 practice questions across five mocks cover investment fund regulation, public and private funds, custody, real estate investment funds, REITFs and market conduct. The fifth paper is a mixed review sampled from the first four. This course is an independent revision companion to the official workbook, not a reproduction of live examination questions.
Who Is This For?
✓ Asset managers operating in Saudi Arabia
✓ Fund structuring, operations and compliance professionals
✓ Candidates preparing for the CME-4B examination
✓ Finance professionals applying Saudi fund regulations
Preparation centre
CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers Exam Guides
Use these connected guides for the syllabus, exam format, booking and revision strategy.
🇸🇦 Local market guide
CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers in Saudi Arabia: pathway, booking and careers
Review how CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers connects to regulation, qualification pathways, booking, currency and careers in Saudi Arabia before paying the official exam fee.
Regulator and qualification pathway
Saudi registered-person pathways use the Financial Academy's CME examinations. The required A technical unit and B rules-and-regulations unit depend on the registered function.
Capital Market Authority and Financial AcademyBooking and official examination
Use the Financial Academy page for the exact CME examination and language you intend to take. Assessment format, availability and fees differ by CME code, so confirm the selected examination page before booking.
Browse official Financial Academy servicesCareer and employer context
Saudi CME pathways are role-based. Asset-management, advisory, compliance, broking and corporate-finance functions use different examination combinations, so the employing firm's compliance team should confirm the correct pair.
Price and currency
Exams Academy course access is a separate US-dollar purchase. Official examination and workbook charges are not included; check the Financial Academy page for the exact CME examination before payment.
Market-specific reading
Understand the pathway before booking
Ready to Pass Your Exam?
Build accurate recall and exam-day confidence with syllabus-aligned study tools, realistic practice and a course-grounded AI tutor.
CME-4B: Saudi Capital Market Rules and Regulations – Asset Managers
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