Ethics, Rules & Regulations (FA CPD)

Programme Overview

Against the backdrop of an evolving regulatory landscape and increasingly diverse ethical issues, this IBF-STS accredited, fully online programme provides learners with the right mindset to safeguard not just organisations and clients, but also themselves.


Learners have feedback that they enjoy and benefit from WMI’s unique Learn-Apply-Review pedagogy.


  • Learn covers the knowledge required.
  • This is followed by case studies to Apply the knowledge gained. These case studies developed by WMI’s practice-led faculty are based on real situations advisers face.
  • Review is achieved through a knowledge check quiz.


This programme is multi-device and multi-platform enabled to allow convenient 24/7 access across desktops, laptops, tablets and smartphones for Windows, Apple iOS and Android. 


Participants will be awarded 6.75 Core/RRCE hours upon completing this module. 


Ethics is not just doing what is legal, but what is right. Issues governing professional and personal ethics, code of conduct and how this is impacted by the persons they work for and work with will be covered.


Rules & Regulations cover the regulatory framework in Singapore, risk management across the sales advisory process, AML and other criminal activities the adviser need to guard against.


There is one MCQ online final assessment after Ethics and one after Rules & Regulations. 

Download programme brochure

Who Should Attend

Personal bankers, relationship managers, client advisors, insurance advisers, independent financial advisers and all other representatives who are required to meet 6 hours under FAA or SFA Core/RRCE CPD hours annually.

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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