Having a good understanding of rules and regulations governing capital markets is a pertinent prerequisite for operating in this industry. At its core, this is about trust which means acting with integrity, always acting in the best interests of the client, making disclosures more accessible and understandable promoting good culture and conduct. This course aims to enable participants to demonstrate the following: (i) a clear understanding of rules and regulations governing the capital markets and ethical conduct; (ii) analyze the business and operational impact of the regulations on business units and recommend industry best practices; (iii) provide advice on issues and developments of business on a cross border basis; (iv) demonstrate effective engagement with the business and regulators; and (v) identify changes to policies and procedures to meet expectations landscape which continues to evolve dynamically. Put together, the learner is offered comprehensive coverage of current and going forward regulatory considerations.
Total Training Duration: 13 CPD hours
Core FAA CPD: 13 hours
Core SFA CPD: 13 hours
Classroom Hours: 13
Preparatory Hours: 4
By the end of this module, participants will be able to
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
Participants who successfully complete the programme will be awarded:
Accreditation
IBF Accreditation
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:
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
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.
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