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🇸🇦 CISI Regional Regulation Certification

CME-1B: General Saudi Capital Market Rules and Regulations

CME-1B: General Saudi Capital Market Rules and Regulations

Master the Saudi Capital Market Law and CMA regulations with an interactive, mentor-led prep system for the GSCMR exam.

204 Unique Questions · 5 Mocks × 50 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.

Exactly what is included

  • 5 mock exams × 50 questions · 204 unique questions · 250 total question slots · unlimited retakes
  • Focus Learn · key areas, pitfalls, exam traps & key numbers
  • Flashcards · fun, fast and effective recall
  • Exam cheat sheet · key facts, rules and numbers by chapter
  • Audio Learning · every chapter in audio
  • AI Analyzer & Mentor · pinpoints your weak areas
  • Study Mode Exams · learn while you train
  • AI Chat trained specifically for this exam
  • Community-polished data, improved every day
  • Up-to-date, accuracy-checked content
AI Audio Summaries New

Listen to course modules on the go. Perfect for studying while driving or commuting.

🎧 Audio

* This is a chapter sample. All audio is available in the full version.

Syllabus

Module 1: Introduction to the Capital Market Authority 7 marks out of 50

🎧 Audio

Explores CMA's establishment, independence under Capital Market Law, and objectives.

  • • Reporting to Prime Minister
  • • Functions of the CMA
  • • Investor protection rules

Module 2: Securities Business Regulations 6 marks out of 50

Details what constitutes 'Securities Business' including dealing, managing, advising, etc.

  • • Dealing and Managing Definitions
  • • Advising vs Custody
  • • Exemptions

Module 3: Authorisation 2 marks out of 50

Strict requirements for CMA authorisation to conduct business.

  • • Fit and Proper criteria
  • • Approved Persons regime
  • • Notification timelines

Module 4: Regulated Activities 13 marks out of 50

Reporting and operational requirements imposed on authorised persons.

  • • Client money rules
  • • 10-year Record keeping requirements
  • • Periodic CMA reporting

Module 5: Anti-Money Laundering and Counter-Terrorist Financing 5 marks out of 50

Critical AML/CFT obligations in KSA aligning with FATF.

  • • Customer Due Diligence (CDD)
  • • Suspicious Transaction Reporting (STR)
  • • Compliance Officer duties

Module 6: Prohibitions 7 marks out of 50

Prohibited behaviors like market manipulation and insider trading.

  • • Market Manipulation meaning
  • • Insider Trading rules
  • • Misleading statements

Module 7: Capital Market Institutions' Regulations 6 marks out of 50

Capital adequacy, corporate governance, and conflicts of interest.

  • • Capital Adequacy
  • • Conflicts of Interest
  • • Independence of function

Module 8: Systems and Controls 4 marks out of 50

Internal frameworks required for risk management.

  • • Internal Audit vs Compliance
  • • Business Continuity Plans
  • • Direct reporting lines to the Board

Student Reviews

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Real Reviews, Real Results

From finance professionals who prepared and passed their CISI exams.

Recent Reviews

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Anonymous learner
Exams Academy learner feedback

CISI General Saudi Capital Market Rules and Regulations

Material was helpful, no need to go to physical class. But need to read notes.

S
Sarah M.
VERIFIED · Aug 4, 2026
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5.0 out of 5
Google

Passed with confidence

Helped a lot to clear my doubts and gain more confidence before the actual exam day. The progress tracker kept me accountable.

H
Hassan Z.
VERIFIED · Jul 29, 2026
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5.0 out of 5
★ 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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Sara Y.
VERIFIED · Jul 23, 2026
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5.0 out of 5
Clutch

Flashcards are a lifesaver

Drilling the specific Saudi reporting deadlines on my phone during my commute made a massive difference. Passed with an 84%.

F
Fahad N.
VERIFIED · Jul 19, 2026
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5.0 out of 5
★ Trustpilot

Essential for Vision 2030 roles

If you are moving to Riyadh for a finance role, this is the GSCMR prep you need. The mock simulators are incredibly accurate to the real Prometric test.

T
Tariq A.
VERIFIED · Jul 11, 2026
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5.0 out of 5
Google

Saudi CMA rules clarified

The generic timelines and capital adequacy requirements for the KSA market are laid out perfectly. I passed CME-1 without needing any other study materials.

Interactive preview

Free CME-1B: General Saudi Capital Market Rules and Regulations Practice Questions & Exam Preview

Try 15 CME-1B: General Saudi Capital Market Rules and Regulations practice questions from Securities Business and Capital Market Institutions

Practice CME-1B: General Saudi Capital Market Rules and Regulations exam questions with answers and explanations. The full course includes 5 mock exams and complete syllabus coverage.

Exam Preview

Securities Business and Capital Market Institutions

Which of the following lists correctly identifies the five types of securities business activities?

1 / 15

Flashcards

Card 1 of 10Introduction to the CMA
Question

What is the Capital Market Authority (CMA)?

Tap to reveal answer

Focus Learn

  • Capital Market Law establishment: Royal Decree M/30 dated 2/6/1424H (31 July 2003).
  • CMA independence and direct reporting line to the Prime Minister.
  • Definitions of securities (4 types) vs. non-securities (7 excluded instruments).
  • CMA trading suspension powers: 1 day independent, >1 day requires Minister of Finance approval.
  • Committee for Resolution of Securities Disputes: composition, appointment, and jurisdiction.
  • Dispute timeline: 90-day filing wait, 14-day consideration start, 30-day appeal window.
  • Securities Depository Center: sole registration entity, preliminary registration in doubtful cases.
  • Evidence admissibility in all forms including electronic, recordings, fax, and email.
Chapter 1: Introduction to the Capital Market Authority

The Saudi Arabian Capital Markets have informally operated since 1950, but the Capital Market Law (the Law) was formally introduced pursuant to Royal Decree M/30 dated 2/6/1424H (31 July 2003) to create a transparent, fair, and regulated market. The Law established the Capital Market Authority (CMA) as a fully independent government organisation that reports directly to the Prime Minister — not to SAMA or any ministry. The CMA's four core objectives are: creating an appropriate investment environment, boosting confidence, reinforcing transparency and disclosure standards, and protecting investors and dealers from illegal acts. Securities under the Law include: (a) convertible and tradeable company shares, (b) tradeable debt instruments issued by companies, government, or public institution…

Unlock all Focus Learn

Open every chapter’s key areas, pitfalls, exam traps and key numbers.

Adaptive study tools

Focus weak topics, learn with feedback, then switch to exam conditions.

Practice modes

Learn first. Then prove you’re ready.

Learn with feedback, then switch to exam conditions.

Study Mode

Instant feedback & explanations

See the answer and explanation after each choice.

Exam Mode

Realistic exam simulation

Use the timer, keep answers hidden, then review your result.

Exams Academy vs. Traditional Training

Feature Exams Academy Traditional Providers
Access Period
Lifetime Access
30 - 90 Days
Practice Exams
Unlimited Retakes
1 - 2 Static Mocks
Study Support
Instant 24/7 AI Tutor
Email Support
Cost
$104 (One-Time)
$300+ (Recurring)

Preview & See What You Will Get

Preview of CME-1B: General Saudi Capital Market Rules and Regulations

Frequently Asked Questions

The GSCMR (CME-1B) is a Computer-Based Test of 50 multiple-choice questions in 1 hour. The pass mark is 70% (35 out of 50). Exams are available year-round at Pearson VUE test centres.

Yes — the CISI General Saudi Capital Market Rules & Regulations exam is approved by the Capital Markets Authority (CMA) and is a requirement for professionals working in regulated roles in Saudi Arabia's financial sector.

GSCMR covers the Saudi CMA regulatory framework including authorised persons requirements, securities offerings, listing rules, market conduct, corporate governance, collective investment schemes, mergers and acquisitions, and enforcement procedures.

All content is created from the official CISI workbooks and compiled with input from financial professionals working in Saudi Arabia who have passed the GSCMR exam. Their regulatory knowledge and exam feedback are combined into our interactive study system.

No previous qualifications are required. However, GSCMR is typically taken by professionals already working in or entering Saudi Arabia's financial sector, so some familiarity with financial services is helpful.

We do not guarantee a pass — success requires reading the official CISI workbook and using our materials for active revision. Our recall-based approach is designed to help you memorise the specific CMA regulations and thresholds that the exam tests.

You get lifetime access from the moment of purchase. Study at your own pace with no time limits or recurring fees.

Yes — the entire platform is mobile-responsive. Revision flashcards and mock exams work on any device, ideal for studying during your commute.

Yes! Test your knowledge and review detailed explanations with the free CME-1B: General Saudi Capital Market Rules and Regulations 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

AI Audio Summaries New

Listen to course modules on the go. Practice anytime, anywhere - even while driving or commuting.

  • ✓ Studio-quality AI voice narration.
  • ✓ Perfect for auditory learners.
  • ✓ Maximize your study time during daily commutes.
Listen to a sample

Five Full Exam Simulators

Don't just memorize - practice under pressure with three distinct modes.

  • ✓ Timed Real Exam Mode: Replicates actual environment.
  • ✓ Topic-by-Topic Drill Mode: Focus on weak areas like Market Manipulation.
  • ✓ Adaptive Challenge Mode: Difficulty that adjusts to you.

150+ High-Quality Practice Questions

Crafted to match the exam-standard wording and logic used by examiners.

  • ✓ Scenario-based questions for practical application.
  • ✓ Detailed Step-by-Step Explanations for every answer.
  • ✓ Metrics to track speed and accuracy over time.

AI-Powered Study Assistant

An AI chatbot trained on CMA regulations — ask it anything, anytime.

  • ✓ Instant Clarification for complex rules.
  • ✓ 24/7 Availability whenever you're in the study zone.
  • ✓ Tailored Explanations in plain business logic.

Rapid-Recall Digital Flashcards

Digital flashcards optimized for quick reinforcement during short breaks.

  • ✓ Critical thresholds and reporting timelines.
  • ✓ Designed to make easy points stick permanently.
  • ✓ Mobile-ready for study on the go.

High-Yield Cheat Sheets

The distilled 'Golden Rules' of the Saudi Regulatory landscape.

  • ✓ Condensed summaries of AML and CMA requirements.
  • ✓ Designed for rapid recall in the final hours.
  • ✓ Essential conflict of interest disclosures.

General Saudi Capital Market Rules and Regulations with Smart Practice

This is not just revision material. It’s a complete exam simulation system designed specifically for professionals in the Saudi financial sector.

We replace traditional, dry workbooks with a dynamic learning environment that adapts to your pace. Our system ensures you are studying exactly what will appear on exam day.

Who Is This For?

✓ Compliance officers & MLROs in KSA
✓ Brokerage and capital markets professionals
✓ Relationship managers & Private bankers
✓ Finance professionals in Saudi Arabia
✓ Anyone needing to pass efficiently without over-studying
✓ Expats relocating to Saudi financial hubs

Preparation centre

CME-1B: General Saudi Capital Market Rules and Regulations Exam Guides

Use these connected guides for the syllabus, exam format, booking and revision strategy.

View all insights
Exam guide

A Complete Guide to CPD Requirements for Saudi CMA License Holders

Stay compliant in 2026. Learn everything you need to know about Continuing Professional Development (CPD) hours and reporting for Saudi CMA registered persons.

Booking & costs

Saudi CME Exams (2026 Guide): Eligibility, Fees & Registration

A practical 2026 guide to CME certification in Saudi Arabia: exact eligibility rules, current CME-1 exam fees, CMA pathways, and overseas registration.

Study plan

The Best CISI Revision Tools for 2026: Mobile Apps and Flashcards

Explore the top CISI revision tools for 2026. See how offline mobile apps, digital flashcards, and active recall can dramatically improve your exam pass rates.

Exam guide

CISI vs CMA: Which Qualification is Right for You?

Discover the key differences between the CISI and CMA qualifications, their career paths, and which certification is the best fit for finance professionals in the Middle East.

Exam guide

Finding a Bilingual CME-1 Tutor in Saudi Arabia

Why finding a bilingual CME-1 tutor for the Saudi CMA regulations is difficult, and how online study platforms offer a better, cost-effective alternative.

Exam guide

GSCMR CME-1B: Corporate Actions and Reconciliations Explained

Master the differences between Mandatory and Voluntary corporate actions for the CISI GSCMR CME-1B exam. Essential guide with interactive flashcards.

🇸🇦 Local market guide

CME-1B: General Saudi Capital Market Rules and Regulations in Saudi Arabia: pathway, booking and careers

Review how CME-1B: General Saudi Capital Market Rules and Regulations 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 Academy

Booking 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 services

Career 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

View all Saudi Arabia certifications

Saudi CME eligibility and registration

Confirm the role-based examination pathway before choosing a CME course.

Financial Academy booking guide

Use the exact Financial Academy exam page to verify format and fees.

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-1B: General Saudi Capital Market Rules and Regulations
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