CMA Capital Market Compliance (Saudi Arabia) Corporate Training
Learn CMA rules, Develop audit-ready controls, and Build a compliant capital market practice with your team.
Edstellar, a corporate training company, delivers this instructor-led corporate training program to help your teams master Saudi Arabia's capital market regulatory requirements, control frameworks, and audit readiness through guided practice.
Instructor-led group trainingVirtual / on-site / off-site10 languagesDelivered inEnglish, Spanish, Mandarin, German, Arabic, Portuguese, Hindi, French, Japanese, Italian100+ countriesWe have delivered inUnited States, United Kingdom, India, Canada, Germany, France, Netherlands, UAE, Saudi Arabia, Singapore, Australia, Japan, Brazil, South Africa and 90+ more countries
How we build a CMA-ready compliance team
The Edstellar CAPITAL MARKET COMPLIANCE Capability Model
Diagnose
Map your current compliance practices against CMA Law and implementing regulations to find the gaps fast.
Standardize
Turn licensing, disclosure, and conduct duties into repeatable control routines your team follows daily.
Practice in labs
Rehearse surveillance flagging, disclosure filings, and screening checks in guided hands-on labs.
Measure
Score CMA readiness against filing, conduct, and record-keeping checks before the real examination.
Scale
Roll proven compliance routines across business lines, branches, and new hires.
Need more than one program?Get a group quote
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Program Overview: What is CMA Capital Market Compliance (Saudi Arabia)?
CMA Capital Market Compliance (Saudi Arabia) is an instructor-led program for compliance, risk, legal, and audit teams operating under the Saudi Capital Market Authority. Over 24 hours and six modules, participants cover the CMA legal framework and authorized persons, client duties and conduct of business, market conduct, insider trading and surveillance, listing and disclosure obligations, and financial crime controls. It closes with a CMA compliance health check lab as the capstone.
Every module connects CMA requirements to day-to-day work: filing a disclosure, flagging a suspicious trade, preparing for an inspection. Cross-functional labs put compliance, risk, legal, and audit teams in the same exercises, building the shared capability and collaboration regulators expect to see. Instructors work through realistic scenarios drawn from how supervised entities actually operate in the Kingdom. The capstone health check lab asks each team to assess a compliance posture end to end and defend their findings.
Firms that treat CMA compliance as a paperwork exercise discover the gaps during inspections, when they are most expensive. Without practiced routines, disclosures slip, suspicious trades go unflagged, and examination findings land on the board. This program builds the practiced habits that keep a firm inspection-ready: documented controls, timely filings, and surveillance that actually works.
The capstone is a CMA compliance health check lab: each team audits a realistic firm's posture across the full curriculum, from authorized-person obligations through market conduct to AML controls, and presents findings to the instructor as if to the regulator. The exercise reveals exactly where each team's blind spots are before a real examination does. Participants return able to keep their firm continuously compliant and to answer examiner questions with documented evidence rather than improvisation.
Whether you are upskilling new joiners or reskilling experienced practitioners, the curriculum builds a shared capability across functions. Cross-team collaboration is built into the labs, so compliance, risk, legal, and audit teams practice together and improve performance on the job. Every module connects CMA requirements to day-to-day work: filing a disclosure, flagging a suspicious trade, or preparing for an inspection.
What's Included in this Workshop for Your Enterprise Teams
- 1
6 instructor-led modules
Foundations to capstone, sequenced for practice.
- 2
Hands-on labs in every phase
Surveillance, disclosure, and screening exercises.
- 3
CMA control templates
Checklists and matrices you reuse on the job.
- 4
Capstone mock compliance review
A full health check scored by the instructor.
- Instructor-led sessions in hybrid or live virtual format
- Flexible scheduling across mutually agreed batches
- Small cohort sizes for guided, effective practice
- Digital workbook, templates, and reference handouts
- Glossary of CMA regulatory terms in Arabic and English
- Post-program assessment with a readiness scorecard
Build your team's skills. Anywhere in the world.
Real-world use cases
from day one
Instructor-led training
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Delivered globally
in 100+ countries
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CMA Capital Market Compliance (Saudi Arabia) Course Topics and Program Outline
This 24-hour program is customized around your licenses, products, and risk profile. Each module blends instructor-led sessions with hands-on labs built on real-world use cases from the Saudi capital market. The workshop follows a clear learning journey: diagnose gaps, learn the rules, practice in labs, and apply controls in a capstone mock review.
Built by Edstellar with Saudi capital market compliance practitioners
Built by practitioners who advise authorized persons, run compliance functions, and prepare firms for CMA examinations, shaped around your stack and use cases.
We map your team's CMA knowledge against licensing, conduct, and filing duties to target the riskiest gaps before training begins.
Build CMA foundations across 6 hours of instructor-led sessions with live walkthroughs of the law and implementing regulations.
Practice surveillance, disclosure, and screening controls across 8 hours of guided, instructor-led hands-on labs.
Apply controls in a 10-hour integration and capstone mock CMA review with your team, ending with a scored readiness pack.
From CMA duties to a capstone mock review, every skill is practiced in guided labs.
Delivered as
A hybrid program that turns CMA regulatory duties into audit-ready practice for your teams.
Map your firm's licensed activities against CMA categories and draft a fit-and-proper checklist.
learna)Capital Market Law (Royal Decree M/30) and the CMA's mandate
b)Licensing categories and securities activities
c)Fit and proper criteria for controllers and registered persons
d)Compliance function structure, independence, and reporting lines
e)CMA examination, enforcement, and penalty powers
Run a client onboarding exercise: classify the client, check suitability, and spot disclosure gaps.
learna)Client classification and suitability assessments
b)Client agreements and pre-service disclosures
c)Client asset segregation and custody controls
d)Complaints handling and dispute resolution
e)Record keeping, retention, and audit trails
Screen a trade blotter for manipulation and insider dealing signals, then draft an escalation memo.
practicea)Prohibited conduct under the Market Conduct Regulations
b)Inside information: identification and information barriers
c)Personal account dealing controls and watch lists
d)Trade surveillance and suspicious transaction flagging
e)Enforcement decisions, fines, and penalty framework
Draft a material-information announcement and a substantial-holding notification against filing deadlines.
practicea)Listing rules and prospectus requirements on Saudi Exchange
b)Continuous disclosure of material information
c)Financial reporting, audit committees, and external auditors
d)Substantial shareholding and directors' dealing notifications
e)Corporate Governance Regulations for listed companies
Score a client file for CDD and screening gaps and file a mock suspicious transaction report.
applya)AML Law and implementing regulations for capital market institutions
b)Customer due diligence and beneficial ownership
c)Ongoing monitoring and suspicious transaction reporting
d)Sanctions screening and politically exposed persons
e)CMA inspection expectations and remediation planning
Deliver the full health check: audit, incident response, remediation plan, and board pack for instructor scoring.
applya)Mock compliance audit of an authorized person
b)Compliance manual and control matrix drafting
c)Market abuse incident response drill
d)Remediation plan and board reporting pack
e)Instructor review and readiness scorecard
Customize this program tailored to your team?
Tell us your training needs: what your team already works with, the level they’re at, and the topics you want them to focus on. We’ll adjust the modules, duration and hands-on labs, and send you a customized outline for your group.
Key Skills and Outcomes Your Team Will Gain
By the end of the program, your teams will be able to:
Navigate CMA licensing and fit and proper rules
Identify which securities activities need a CMA license and apply fit and proper standards to controllers and registered persons.
Apply client conduct and suitability controls
Run client classification, suitability checks, and disclosure routines that meet CMA conduct of business duties.
Detect and escalate market abuse
Spot insider trading and manipulation signals in trade data and escalate through the right internal channels.
Manage listing and disclosure obligations
Prepare timely material disclosures, notifications, and governance filings for Saudi Exchange listed companies.
Run AML/CTF screening and reporting
Complete customer due diligence, sanctions screening, and suspicious transaction reports for capital market institutions.
Assess corporate governance compliance
Check board, audit committee, and related party practices against CMA Corporate Governance Regulations.
Lead a compliance health check and board report
Audit an authorized person's controls, draft remediation plans, and present findings in a board-ready pack.
Teams that Benefit from this CMA Capital Market Compliance (Saudi Arabia) Group Training
Designed for governance, risk, compliance, legal, and audit teams working with Saudi capital market institutions. The content adapts to each cohort's roles and experience, so every group practices the workflows it owns.
Build a CMA-ready compliance function
Strengthen licensing, conduct, and filing controls with practical routines compliance teams use every day.
Workflow friction
- Keeping up with new CMA instructions
- Manual filing and tracking processes
- Scattered control ownership across units
How the program helps
- File CMA disclosures accurately and on time
- Map licensed activities to control owners
- Run surveillance and escalation drills confidently
Practice use cases
- Disclosure filing drills
- Surveillance flagging labs
- Control matrix builds
Quantify and control regulatory risk
Translate CMA obligations into risk registers, control tests, and remediation plans that stand up to scrutiny.
Workflow friction
- Opaque regulatory risk measurement
- Overlapping control responsibilities
- Limited mock examination practice
How the program helps
- Link CMA duties to risk appetite metrics
- Test control effectiveness in labs
- Prioritize remediation by risk impact
Practice use cases
- Risk control testing labs
- Remediation planning drills
- Inspection readiness reviews
Advise with regulatory precision
Interpret CMA law and regulations with confidence and draft agreements, disclosures, and policies that comply.
Workflow friction
- Ambiguous regulatory interpretations
- Legacy agreements with outdated clauses
- Tight disclosure drafting timelines
How the program helps
- Interpret CMA rules consistently
- Draft compliant client agreements
- Handle enforcement queries calmly
Practice use cases
- Disclosure drafting labs
- Agreement review exercises
- Policy redlining drills
Audit capital market controls effectively
Plan and execute audits of licensing, conduct, and financial crime controls with CMA-specific test steps.
Workflow friction
- Generic audit programs miss CMA specifics
- Inconsistent control testing methods
- Weak evidence trails for regulators
How the program helps
- Scope audits to CMA obligations
- Test controls with proven checklists
- Report findings in board-ready packs
Practice use cases
- Mock audit exercises
- Control testing labs
- Evidence trail reviews
Cross-functional cohorts are welcome: compliance, risk, legal, and audit teams practice together in the capstone mock review.
Prerequisites: This program benefits compliance, risk, legal, and audit professionals most, including those new to the Saudi capital market. Familiarity with capital markets helps but is not required, since the program starts from CMA foundations and builds to advanced practice. Each cohort's examples and labs adapt to your licenses, products, and tools, so teams practice on work that mirrors their own.
Compliance Analyst to CMA Program Owner
Skills progress from foundations in CMA law to advanced practice in surveillance, disclosure, and mock audits, mapped to your team's daily workflows.
One program that grows with compliance careers, from CMA basics to confident, audit-ready practice.
Mixed cohort, or several teams at once?
We can tailor the training to different teams, roles, and experience levels within the same program.
Certificate of Training Completion.
On successful completion, employees receive an Edstellar course completion certificate, recognizing their commitment to ongoing learning and professional development. It validates the skills they have built and motivates them to keep growing and contribute to organizational success.
Earned, not attended. Awarded on completion of all hands-on labs and the capstone project.
Training Delivery Modes: Virtual, Onsite and Hybrid
Choose the format that fits your teams: hybrid by default, with fully virtual or onsite options for every cohort.
Hybrid Training
Combine sessions at your office with live virtual modules, so distributed teams learn together without travel overhead.
- Instructor-led sessions across both formats
- Hands-on labs in every delivery mode
- Flexible scheduling for regional teams
- One curriculum, consistent outcomes
Onsite Training
Run the full program at your Saudi offices with an instructor on site for the labs and the capstone mock review.
- Dedicated instructor at your premises
- Lab exercises using your workflows
- Direct coaching during the capstone
- Team-specific scenarios and examples
Live Virtual Training
Join live virtual sessions over Zoom or Microsoft Teams with the same instructor-led labs, breakout exercises, and capstone review.
- Live instructor-led virtual sessions
- Guided labs in virtual breakout rooms
- Digital workbook and templates
- E-learning resources for reinforcement
Need a training format that works for your team?
Full days, half days across weeks, or split by module. Tell us the delivery window and we schedule the cohort around it.
Frequently Asked Questions
Share your team size, locations, and preferred format, and we will send a tailored proposal with schedule options per batch or per group. Tell us your licensed activities so we can scope the labs accurately.
Yes. A short discussion maps your teams, gaps, and CMA priorities so we can align the curriculum before you commit. We then share a tailored training plan with clear next steps.
Yes. We deliver the full program as live virtual training over Zoom or Microsoft Teams, with guided labs in virtual breakout rooms. Hybrid delivery is also available for distributed teams.
Yes. Onsite delivery is available at your Saudi offices, with the instructor present for every lab and the capstone mock review. Scheduling is flexible and mutually agreed.
The program runs 24 hours across 6 modules, scheduled in flexible blocks that fit your working week. We plan batches around your team's availability and examination timelines.
Question not answered here?
Put it in the request. A training specialist answers it directly, within one business day.
Where this Training Fits in Your Team's learning path.
Saudi Arabia's Capital Market Authority regulates securities firms and markets, so your team starts with how capital markets and investment products work. This course covers CMA rules. The path then moves into preventing market abuse and into SAMA's prudential and conduct rules for the wider financial sector.
Why Choose Edstellar as Your CMA Capital Market Compliance (Saudi Arabia) Training Provider
Compare training providers on what matters: current CMA expertise, hands-on practice, and proof of readiness.
EXPERT TRAINERS
YEARS DELIVERING
ORGANIZATIONS TRAINED
CERTIFIED
Tailored
Scenarios and labs mirror your licensed activities, products, and risk profile, so practice matches daily CMA compliance work.
Proven Methodology
A diagnose, standardize, practice, and measure arc that has prepared governance and compliance teams for regulatory examinations.
Practice-Based Learning
Guided hands-on labs for surveillance, disclosure, and screening replace slide-heavy lectures with real regulatory work.
Expert Trainers
Practitioners from Saudi capital market compliance lead every session and review your capstone deliverables personally.
Global Scale
One consistent program across your offices and batches, with quality controls that keep every cohort audit-ready.
Measurable Outcomes
Readiness scorecards and capstone assessments show exactly which CMA duties your team has mastered.
Build Saudi Capital Market Compliance Skills Through Conduct and Evidence Cases
Edstellar connects CMA framework learning with client duties, surveillance, disclosures, and financial-crime controls. Participants examine fictional files and prepare escalation and evidence artifacts through guided cases. A final health check integrates these decisions, allowing review of regulatory mapping, documented reasoning, remediation priorities, and the clarity of management reporting.
- Step 01
Consult
We explore licensed-activity responsibilities and capital-market familiarity to identify gaps in client classification, conduct review, disclosure processes, and compliance evidence.
- Step 02
Plan
We establish CMA scope before client duties, market surveillance, disclosure obligations, and AML controls, then consolidate the compliance health check and board pack.
- Step 03
Align
We align capital-market compliance facilitation with legal, risk, audit, and compliance roles, adjusting foundations and case depth to the cohort's licensed activities.
- Step 04
Customize
We adapt fictional client profiles, trade blotters, and disclosure scenarios to relevant products without using identifiable clients or live trading information.
- Step 05
Execute
Participants review suitability, investigate surveillance signals, and draft mock filings, receiving feedback on evidence, escalation reasoning, disclosure gaps, and control design.
- Step 06
Evaluate
We assess the health check for traceable findings, justified remediation priorities, complete supporting records, and clear communication of unresolved compliance issues.
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→Managed training services
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→Coaching solutions
Executive and manager coaching that keeps skills in use.
Start an RFP shaped to your needs.
Answer three quick questions about team size, scope, and how often you need the program run, then send the request from the last step. Everything you choose travels with it, so you only fill this in once.
How many team members need training?
CMA Capital Market Compliance (Saudi Arabia) Training Packages & Pricing
Where L&D holds an annual budget, license packages price the whole year at once instead of raising a purchase order per workshop. Hours and licenses are pooled across teams, programs and locations, so unused capacity is not stranded in one department.
Starter
120
trainee licenses64 hours of group training
Tailored for SMBs
Growth
320
trainee licenses160 hours of group training
Ideal for growing SMBs
Enterprise
800
trainee licenses400 hours of group training
Designed for large corporations
Custom
Unlimited
trainee licensesDuration set by the rollout
Multi-region and multi-year
Training Packages & Pricing
Choose the training format that works for your team. Pricing is customized based on your requirements, cohort size, and delivery needs.
Request CMA Capital Market Compliance (Saudi Arabia) Training for Your Team
Tell us about your teams and timelines, and we will prepare a tailored training plan with availability and pricing. Book a discovery call to discuss your CMA priorities.