FA CPD – Ethics, Rules & Regulations

Providing advisers an ethical & regulatory framework to safeguard themselves, clients and financial institutions

This online learning programme with assessments is designed for financial adviser representatives who are required to meet 6 hours of Core/RRCE FA CPD hours annually. Our unique Learn-Apply-Review pedagogy will carry learners through a comprehensive curriculum with case studies developed by WMI’s practice-led faculty.

The Ethics module highlights the importance of not just doing what is legal but doing what is right. The learner gains insights to issues which govern professional and personal ethics and how their own code of conduct and actions may be impacted by the persons they work for and work with.

The Rules & Regulations (R&R) module cover the regulatory framework in Singapore, risk management during the various stages of the sales advisory process, AML and other criminal activities the financial adviser needs to guard against.

This programme is multi-device and multi-platform enabled to allow convenient 24/7 access across desktops, laptops, tablets and smartphones for Windows, Apple iOS and Android.

Against the backdrop of an evolving regulatory landscape and an increasing diversity of ethical issues and challenges, this leading online learning programme will provide the learner the right mind set and perspectives to safeguard not just the organisation and clients but also himself or herself.

Curriculum

The two modules on Ethics and Rules & Regulations (R&R) are carefully laid across small bite-size portions with each adopting WMI’s unique Learn-Apply-Review pedagogy. Learn covers the knowledge required which is followed by case studies to allow learners to Apply the knowledge gained. Review is achieved through a brief knowledge check before continuing to the next topic.

The case studies, developed and updated by WMI’s practice-led faculty, are based on real situations which advisers face, and challenge the learner to reflect on the ethical or regulatory aspects governing such situations.

There are two final assessments. One after completing all topics under Ethics and one after completing all topics under Rules & Regulations. Both assessments are administered online within the programme through a multiple-choice question (MCQ) format. Successful completion of both modules and final assessments will allow the learner to be eligible for 6 Core/RRCE CPD hours.

The areas covered across these two modules relate to:

  • Applying professional and personal ethics and understanding its value in developing trust
  • Learning on the various industry codes of conduct and reflecting on one’s personal code of conduct
  • Gaining awareness of factors which influence one’s ethics and adopting an ethical decision framework when encountering ethical dilemmas
  • Understanding the regulatory framework and the specific regulatory acts and guidelines which governs the adviser
  • Recognising and managing risks from a financial adviser representative’s perspective
  • Guarding against criminal activities, illegitimate funds and terrorism financing through knowledge on the legislative controls and regulations related to Anti-Money Laundering (AML), Countering the Financing of Terrorism (CFT) and Politically Exposed Persons (PEP)

Certification & Funding

This IBF accredited programme has been approved for both FAA and SFA and IBF-STS funding is available for eligible participants.

Who will Benefit

Personal bankers, relationship managers, client advisors, insurance advisers, independent financial advisers and all other representatives who are required to meet 6 hours under FAA or SFA Core/RRCE CPD hours per year.

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