CME-2B Compliance Rules Complete Review Guide 2026–2027
Every exam topic in a 41-page Arabic PDF, ordered from the heaviest unit to the lightest. The first three chapters alone cover about 56% of the exam questions.
- 41Pages
- 113Key points
- 28Common mistakes
- 50Flashcards
Guide map
Each chapter is one exam unit, ordered by its weight in the real exam.
| Chapter | Unit | Weight | Exam questions | Key points |
|---|---|---|---|---|
| 1 | Capital Market Institutions Regulations | 20% | 5 | 16 |
| 2 | Anti-Money Laundering Law | 20% | 5 | 25 |
| 3 | Investment Funds Regulations | 16% | 4 | 12 |
| 4 | Market Conduct Regulations | 12% | 3 | 15 |
| 5 | Corporate Finance | 12% | 3 | 15 |
| 6 | Countering Terrorism Crimes and Financing | 12% | 3 | 13 |
| 7 | Investment Accounts Instructions | 8% | 2 | 17 |
Chapter 1 in full: Capital Market Institutions Regulations
20% of the exam, about 5 questions. These are its key points, as in the guide.
- Withdraw non-compliant advertisements as soon as possible and maintain complete approved-advertisement records; Article 33(e–f).
- A robo-advisory platform displays since-inception performance, methodology, returns after actual expenses and updates; Article 33(g).
- Identify yourself, the institution and the purpose at the outset, and avoid undue pressure; Article 34(c–d).
The rest of chapter 1, on this page
- Comparisons must be fair, balanced and materially complete; past performance must not be selected to exaggerate results; Annex 5.1 II.7 and II.9.
- Planned temporary cessation requires 45 days’ notice; cancellation requires a request three months ahead and immediate client notice on submission; Article 12(a,e).
- Cessation cannot exceed 12 months; jurisdiction may continue beyond two years where enforcement began within them; Article 12(c,i).
- A controller needs written Authority approval; intended acquisition or cessation of control requires 30 days’ notice where possible; Article 13.
- Close links require 30 days’ advance notice where possible, and the Authority may impose conditions protecting supervision; Article 14.
- Retain records for ten years unless otherwise specified, organised and printable; Article 16.
- Obtain written bank acknowledgement within 20 days; otherwise move funds to another local bank’s client account; Article 74.
- Deposit client money no later than the next day after receipt; deposit mixed remittances fully and remove the other portion promptly; Article 75.
- The internal calculation is daily using accounting records; fund its shortfall by calculation-day close; Article 79.
- Asset account titles show client ownership and segregation; specified alternative-name registration requires prior written risk disclosure and consent; Articles 84–85.
- Assess custodian risk before selection and as needed continuously; client objection prevents group-custodian holding; Article 87.
- A written client agreement before custody covers registration, instructions, liability, fees and pooling; the custodian agreement controls segregation, withdrawals and statements; Articles 88–89.
- Provide client statements at least annually even after a zero balance, except where the account closes and a qualifying closing statement is sent; Article 91.
Common mistakes in this chapter
- Stating forecast assumptions does not permit future securities-price forecasts; Annex 5.1 I.3.
- Consent to out-of-hours communication does not waive truthfulness or identification; Article 34(c).
- Advertising suitability does not reclassify clients or waive subscription rules; Article 35 concerns advertising.
- Zero holdings at statement date alone do not remove the annual statement duty; Article 91(b).
The other chapters are in the full guide
One purchase · lifetime access · review guide included
7-day review plan
The chapters are spread over 6 days by weight so each day carries a similar load. Day 7 is a full exam.
Day 1 · 20% of the exam
Chapter 1: Capital Market Institutions Regulations
Day 2 · 20% of the exam
Chapter 2: Anti-Money Laundering Law
Day 3 · 16% of the exam
Chapter 3: Investment Funds Regulations
Day 4 · 20% of the exam
Chapter 4: Market Conduct Regulations
Chapter 7: Investment Accounts InstructionsDay 5 · 12% of the exam
Chapter 5: Corporate Finance
Day 6 · 12% of the exam
Chapter 6: Countering Terrorism Crimes and Financing
Day 7
Full mock exam: 25 questions in 30 minutes, then review the common mistakes in the units where you lost marks.
How many correct answers do you need?
- Pass mark 68%17 correct out of 25
Before you read: see your score today
10 free questions from the main units, no sign-up. Then you know which chapter to start with.
Try 10 free questions and see your levelA look at each chapter
The first three key points of each chapter, as they appear in the guide (in Arabic in the PDF).
Chapter 1: Capital Market Institutions Regulations
- Withdraw non-compliant advertisements as soon as possible and maintain complete approved-advertisement records; Article 33(e–f).
- A robo-advisory platform displays since-inception performance, methodology, returns after actual expenses and updates; Article…
- Identify yourself, the institution and the purpose at the outset, and avoid undue pressure;…
Chapter 2: Anti-Money Laundering Law
- Document and periodically update a proportionate risk assessment, making it available to supervisors on…
- Account purpose, transaction size/frequency and relationship duration inform risk, alongside national findings. High risk…
- Senior management approves proportionate AML policies, procedures and controls, which are continuously reviewed and…
Chapter 3: Investment Funds Regulations
- The custodian is custody-authorised and independent of the manager, sub-manager and their affiliates, subject…
- Fund assets belong collectively to unitholders; they are not general security for manager debts…
- General limits for a non-exempt public fund
Chapter 4: Market Conduct Regulations
- On reasonable grounds held by the institution or registered person, do not accept or…
- Document refusal and its reasons in writing and notify CMA within three days. Where…
- Client orders in the same security precede orders for the institution’s or registered person’s…
Chapter 5: Corporate Finance
- Private placement
- Limited offers have no more than 100 offerees excluding qualified/institutional clients, and no more…
- Another limited offer of the same class must wait twelve months after completion of…
Chapter 6: Countering Terrorism Crimes and Financing
- Assessment covers customers and beneficial owners, countries, products, services, transactions and channels, and national…
- Relationship purpose, transaction size and frequency, and relationship duration inform assessment, whose scope must…
- Assessment results lead to implemented, monitored and strengthened policies and controls. High risk requires…
Chapter 7: Investment Accounts Instructions
- Before covered services, obtain and document approval of the opening agreement and open the…
- Third-party due diligence reliance is permitted under AML/CTF laws and implementing regulations, not merely…
- Verify the actual relationship between the client and the guardian, agent or signatory opening…
The full guide comes with lifetime access
The full guide (41 pages) is included with lifetime access to this exam, together with every question and full mock exam. Chapter 1 is free for everyone.
Questions about the guide
Is the guide free?
Chapter 1 is free to read on the guide page. The full guide comes with lifetime access to this exam; 7-day access does not include it.
Is it up to date for 2026–2027?
Yes. Unit weights and exam facts follow what the exam body last published, and the last check date is printed in the guide. If the standards change we update the file and buyers download the new version.
Does the guide have questions?
No. The guide covers key points and common mistakes; scoring, weak-area practice and full mock exams are on the site.
Can I read it on my phone?
Yes. A5 pages in a single column, with chapters linked from the contents.
- Pages
- 41
- Edition
- 1448 AH · 2026–2027
- Language
- Arabic
- Last updated
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- 500 questions, every option explained with its source
- Practice that starts with your weakest units, plus a review of your mistakes
- Complete Review Guide 2026–2027 (PDF), with lifetime access only
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