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CME-1B: Saudi Capital Market Rules and Regulations – General
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Passing your Saudi Capital Market Authority (CMA) CME exams and becoming a Registered Person is a massive achievement. However, the journey does not stop once you have the certificate in hand.
To maintain your license and legally continue operating within Saudi Arabia’s financial sector, you must engage in Continuing Professional Development (CPD). The Saudi financial landscape is evolving incredibly fast under Vision 2030, and the regulator requires professionals to stay sharp, updated, and compliant.
Here is everything you need to know about fulfilling your CPD requirements as a Saudi CMA license holder in 2026.
Why Does the CMA Mandate CPD?
The financial markets are not static. New regulations are drafted, new financial products (like digital assets and complex derivatives) are introduced, and new threats (such as advanced money laundering techniques) emerge constantly.
CPD ensures that:
- Consumer Protection: Clients are receiving advice based on current laws and market conditions.
- Market Integrity: Registered Persons understand the latest compliance and anti-money laundering (AML) directives.
- Professional Competence: Your technical skills do not degrade over time.
What Activities Qualify for CPD?
Not all training counts as valid CPD. To qualify, the activity must directly relate to your registrable function and enhance your professional competence.
Commonly accepted CPD activities include:
- Attending industry conferences and seminars hosted by recognized bodies (like the Financial Academy or CISI).
- Taking additional professional qualifications (e.g., studying for CME-2 after passing CME-1).
- Completing structured online courses related to finance, ethics, or compliance.
- Internal compliance and AML training conducted by your Capital Market Institution (CMI).
Note: General “soft skills” training (like a generic time management course) often does not count toward your regulatory CPD quota.
How to Manage Your CPD in 2026
Falling behind on CPD is a nightmare for both you and your firm’s compliance department. Failure to meet the requirements can lead to the suspension of your license.
To stay on track, use this annual CPD management plan:
Interactive Checklist
Annual CPD Action Plan
Follow this structured approach to ensure you never miss your regulatory CPD requirements.
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The Role of Your Compliance Officer
While you are personally responsible for your professional development, your CMI’s Compliance Officer is legally obligated to monitor and report the firm’s overall CPD compliance to the Capital Market Authority.
If you are ever in doubt about whether a specific course or seminar counts towards your CPD, always ask your Compliance Officer before you spend time and money on it. They are your primary resource for ensuring you remain a fully compliant, licensed Registered Person in the Kingdom.
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Frequently Asked Questions
1 What is CPD in the context of the Saudi CMA?
Continuing Professional Development (CPD) is the mandatory ongoing education and training that Registered Persons must complete annually to maintain their regulatory licenses and stay updated on market developments.
2 How many CPD hours do I need for Saudi CMA compliance?
The specific number of hours can vary based on your exact registrable function and the internal policies of your Capital Market Institution (CMI). You must consult your compliance officer to confirm your specific annual target.
3 What counts towards my CPD hours?
Relevant professional seminars, workshops, online courses, passing further professional exams (like CME-2 or CISI modules), and authorized internal firm training generally count towards CPD.
4 What happens if I do not complete my CPD hours?
Failing to complete mandatory CPD can result in the suspension of your Registered Person status by the CMA, meaning you can no longer legally perform your regulated duties.
5 Who is responsible for tracking CPD hours?
While you should personally track your development, your firm's Compliance Officer (or MLRO) is ultimately responsible for ensuring all Registered Persons meet their requirements and reporting this to the regulator.
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