Which of the following is NOT classified as a 'security' under the Capital Market Law?

Convertible and tradeable company shares

Securities advertisements may only be made by:

Capital Market Institutions with pre-approved content

Any company listed on the Exchange

A CMI must have at minimum which four mandatory roles?

CEO, CFO, compliance officer, MLRO

CEO, compliance officer, MLRO, board member

CEO, compliance officer, auditor, risk manager

CEO, CFO, auditor, risk officer

Suspicious activity must be reported to which body?

The General Directorate of Financial Intelligence

Which roles must be held by separate individuals within a CMI?

CEO, finance manager and compliance officer

Compliance officer and MLRO only

Client classification under CMA rules categorises clients as:

Retail, qualified and institutional

High net worth, standard and basic

Individual, corporate and government

Applicants for CMA authorisation become subject to CMI Regulations from:

The moment the application is submitted

The date they commence business

The minimum paid-up capital for Managing investments AND operating funds is:

Capital covering 1-year expenses

CME 1 - General Saudi Capital Market Rules and Regulations CME-1B Free Sample Paper & Question Bank

Test your knowledge with 50 official-style practice questions from our premium question bank. This mock exam sample will help you gauge your readiness and identify weak areas.

All CME 1 - General Saudi Capital Market Rules and Regulations CME-1B Sample Questions

Question 1 of 30

The sale-of-company exemption from 'dealing' requires acquisition or disposal of what percentage of voting shares in an unlisted company?

1 / 30

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This free CME 1 - General Saudi Capital Market Rules and Regulations CME-1B practice test consists of 50 hand-picked multiple-choice questions. It is designed to give you a realistic preview of the official exam's difficulty and scenario-based testing style in international markets. Use this sample paper to evaluate your current baseline knowledge.

Format

50 Questions

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Target Score

70% or higher

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Are these CME 1 - General Saudi Capital Market Rules and Regulations CME-1B sample questions updated for 2026?

Yes, these free practice questions are continuously reviewed and updated to reflect the latest official syllabus changes and regulatory requirements for candidates in international markets.

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