Ethics, Regulations & Compliance (Online)

Programme Overview

In the ever-evolving realm of financial services, maintaining integrity and compliance is not just a regulatory obligation but a cornerstone of trust and stability. The modules presented here delve into two fundamental pillars: Ethical conduct and Customer Due Diligence & Regulations.

Discover our accredited online program tailored to accommodate the rigorous schedules of our diverse audience. Our curriculum is thoughtfully structured into bite-sized content, ensuring a positive and engaging learning experience. Accessible across various platforms through WMI’s innovative Learning platform, learners may pursue their learning goals with convenience.

Upon successful completion, participants will be awarded 6 Core FAA/SFA hours, and eligible participants will also qualify for IBF-STS funding.

Learning Outcomes

By the end of these modules, participants will be able to:

Explore the fundamental principles of professional & personal ethics that underpin the industry and establish its value in building trust between stakeholders.
Evaluate the various codes of conduct established by regulatory bodies, and industry associations, and apply them effectively in their own role
Develop awareness of factors that influence one’s ethics and design their own ethical decision framework to address ethical dilemmas.
Explore the regulatory framework and the specific regulatory acts and guidelines that govern the financial adviser representatives in their role.
Identify and manage risks that may arise from the actions or activities of financial adviser representatives.
Develop an understanding of the legislative controls and regulations related to Anti-Money Laundering (AML), Countering the Financing of Terrorism (CFT) and Politically Exposed Persons (PEP) in guarding against criminal activities, illegitimate funds and terrorism financing.
Analyse case studies and real-life scenarios to build awareness of the common regulatory problems and develop insights on the practical applications of regulations in practice.

Download programme brochure

Who Should Attend

Compliance Advisers, Risk and Legal Professionals and Managers
Client Advisers, Relationship Managers, Assistant Relationship Managers and all other Covered Persons
Private Client Relationship Managers, Senior Priority Relationship Managers in Consumer or Retail Banking
Insurance Advisers, Financial Consultants and Independent Financial Advisers

Useful Links

IBF STS & FTS: https://www.ibf.org.sg/home/for-individuals/skills-and-jobs-development/training-support/IBF-STS

IBF FTS: https://www.ibf.org.sg/programmes/Pages/IBF-FTS.aspx

Certification

Participants who successfully complete the programme will be awarded:

Accreditation

IBF-STS

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

Certification

Participants who successfully complete the programme will be awarded:

WMI Certification

Modules	Full Fees (S$)	Fees after subsidies inclusive of GST (Available till 30 June 2022) (S$)
Before GST	After GST	Company-Sponsored

Note:

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.