Ethics, Regulations and Compliance - Ethical Conduct, Customer Due Diligence and Regulations (Online)
Module 1 – Ethical Conduct (EC)
In today’s complex and interconnected financial landscape, understanding and adhering to ethical principles is paramount within the financial services industry. This module will explore the ethical considerations that play a crucial role in maintaining trust, integrity, and stability. This will guide compliance advisers and financial representatives in making responsible decisions that impact clients, organisations, and the broader society.
Module 2 – Customer Due Diligence and Regulations (CDR)
Regulations form critical aspects of the financial services industry, ensuring that organisations operate within the boundaries of the law, maintain the integrity of the financial system, and protect the interests of clients and stakeholders. This module will guide compliance advisers and financial representatives to learn more about compliance with relevant regulations to gain a comprehensive understanding of the regulatory landscape and develop the necessary knowledge and skills to meet compliance requirements.
Total Training Duration / CPD Hours : 6
Core FAA CPD : 6
Core SFA CPD : 6
E-Learning Hours : 6
Preparatory Hours : 0