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


Participants who successfully complete the programme will be awarded: 





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



Participants who successfully complete the programme will be awarded: 

  • WMI Certification 


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. 





Upcoming Dates

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