Compliance in Asset Management and Financial Advisory Services

Programme Overview

This module aims to equip participants with the relevant skills to understand and manage compliance risks in the financial services industry in line with regulatory expectations. Scope includes overview of asset management and investment advisory business; compliance considerations for product structuring, product offering and investment advisory.

Total Training Duration: 13 CPD hours
Core FAA CPD: 8 hours
Core SFA CPD: 8 hours
Classroom Hours: 13
Preparatory Hours: 4

Learning Outcomes

By the end of this module, participants will be able to

Explain the importance of compliance function and role of compliance officers in the asset management industry.
Identify compliance risks of adherence with laws and regulations and business conduct risks on product structuring, distribution and investment advisory.
Provide solutions to mitigate and address related compliance risks.
Plan and implement effective policies and processes.
The course structure consists of a combination of classroom learning and assessments, with a total duration of 13 hours.

Download programme brochure

Who Should Attend

This course is designed for compliance professionals within the financial services sector with at least 3 years of relevant experience, including legal, enterprise/operational risk, audit professionals and those in control functions in the 1.5 line of defence. It is also relevant for external lawyers, consultants and accountants advising the financial services sector.

Useful Links

Certification

Participants who successfully complete the programme will be awarded:

Accreditation

IBF Accreditation

This course is eligible for funding under the IBF Standards Training Scheme (IBF-STS), subject to all eligibility criteria being met.
For more information on the Skills Framework for Financial Services, please visit www.ibf.org.sg/home/for-financial-institutions/resource-tools/skills-framework-for-financial-services.

For more information on the IBF-STS, please visit www.ibf.org.sg/home/for-financial-institutions/resource-tools/skills-framework-for-financial-services.

Certification

About IBF Certification

This course addresses the following Technical Skills and Competencies (TSCs) and proficiency level:

Regulatory Compliance (PL4)
Regulatory and Legal Advisory (PL4)

Participants are encouraged to access the IBF MySkills Portfolio (https://www.ibf.org.sg/programmes/Pages/MySkills-Portfolio.aspx) to track their training progress and skills acquisition against the Skills Framework for Financial Services. You can apply for IBF Certification after fulfilling the required number of Technical Skills and Competencies (TSCs) for the selected job role.

Find out more about IBF certification and the application process on https://www.ibf.org.sg/certification/Pages/Why-be-Certified.aspx

Modules	Full Fees (S$)	Fees after subsidies inclusive of 9% GST (With effect from 1 January 2024) (S$)
Before GST	After GST	Company-Sponsored	Self-Sponsored

Note:

Prices shown are based on the prevalent IBF-STS subsidies. T&Cs apply.

Click here to read more about the terms & conditions governing registration, payment, cancellation, deferment and no-show.

Eligible SG citizens may utilise SkillsFuture Credit to offset course fees. This is only applicable for the regular SkillsFuture Credit, and not applicable for the SkillsFuture Credit (Mid-Career) additional top-up funding.

^#Unfunded course fee refers to the balance course fee payable after applicable government subsidies. This may include materials fees, registration fees and misc fees.

The information above is correct at the time of publication. Wealth Management Institute reserves the right to amend the fees and/or terms and conditions as appropriate.