Online Learning

Ethics, Rules & Regulations (FA CPD)

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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. 

Upcoming Dates


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. 

Interested Participants Also Enquired About:

Advanced Diploma in Wealth Management Old

Certified Private Banker (CPB) Level 1 – Ethical Conduct

Certified Private Banker (CPB) Level 2 – Regulatory Compliance & Client Onboarding