top of page
Abstract Futuristic Background

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.




Upcoming  Start Date

Date 0

Registration Cutoff Date:

Date0 -1

Other Dates Available

Date 1

Date 3

Date 5

Date 2

Date 4

Date 6

*For later dates, click Register Now button to scroll through calendar.



Ethics, Rules and Regulations

Course Code:


Course Type:


Course Duration

6 Hours



Mode of Delivery


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: 

  1. Define, identify, understand the regulatory frameworks. 

  2. Apply knowledge of local and international trends and developments to daily work practices. 

  3. Maintaining awareness of trends and developments in the regulatory landscape.

This Course Is Designed For

Insurance - Brokers, Account Managers, Placement Managers, Placement Executive, Product Specialist. Retail Banking/Corporate Banking/Investment Banking - Head of Product Sales.

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


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.

Etka Singh


Join Our Successes


Contact: +65 6381 6373


1 Paya Lebar Link #06-08
PLQ 2 Paya Lebar Quarter
Singapore 408533


  • Facebook
  • LinkedIn
bottom of page