Professional Academy
Ethics, Rules and Regulations
The course is meant to provide guidance on the industry’ applicable Rules and Regulations and Ethics Standards of Singapore.
Price:
688
SGD
Upcoming Start Date
Date 0
Registration Cutoff Date:
Date0 -1
Course Duration
6 Hours
Language
English
Mode of Delivery
Online
Course schedule
9AM to 5PM
Course Overview
Conducted By RHT Academy
This programme is designed for Financial Institutions’ business conduct requirements under the Securities and Futures Act (SFA) and the Financial Adviser Act (FAA).
The course is meant to provide guidance on the industry’ applicable Rules and Regulations and Ethics Standards of Singapore.
With experienced trainers in the areas of Ethics and Compliance, the ERR course will use lecture materials along with case studies to provide continuing education for appointed representatives to keep abreast of developments in the industry and update their skills and knowledge relevant to the activities they conduct.
Participants who successfully complete this 1-Day compliance training programme will be deemed to have completed the mandatory structured CPD training and be accorded with 6 CPD hours as stipulated under the Financial Adviser Act (FAA) and the Securities & Futures Act (SFA).
Course Objectives
Upon completion of the programme, appointed representatives of CMS Licence Holders, Exempt FIs and Financial Advisers will be able to:
Define, identify, understand the regulatory frameworks.
Apply knowledge of local and international trends and developments to daily work practices.
Maintaining awareness of trends and developments in the regulatory landscape.
This Course Is Designed For
Financial Institutions’ business conduct requirements under the Securities and Futures Act (SFA) and the Financial Adviser Act (FAA).
Course outline
Module 1 : Rules & Regulations
Introduction
Singapore Framework – policy evolution & strategy
Practical Analysis
Regulatory Focus AML CFT GRC
Overview of Rules & Regulations
FAA Act
SFA and SFA Amendment Act
CDD & KYC guidelines
Preventing of ML and CFT
Outsourcing and 3rd party risk
Financial advisory industry review and BSC Framework
Data protection and privacy challenges
Regulations
Module 2 : Ethics
Ethics: defination, the pressure factor and ethical
Issues Analysis
Compliance & Ethics
Conduct Risk
Conflict of Interest
Reporting Misconduct
Trust & Leadership
Regulatory Tools and IACG framework
Conclusion
The Trainers
Etka Singh
Regional Head of Compliance
ShuttleOne
Ekta Singh is Regional Head of compliance at ShuttleOne. She brings wealth of knowledge and awareness of ethics, compliance, business management, current industry trends and technological advancement in the Fintech, RegTech area. Ekta has forward looking approach to manage compliance and operational challenges.
Ekta has been in Financial Industry for more than a decade and in her professional career, she adorned the role of Financial advisor, supervisor, Sales management, business head, Risk & Compliance head.
Info
Contact: +65 6381 6373
Address
1 Paya Lebar Link #06-08
PLQ 2 Paya Lebar Quarter
Singapore 408533
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