Financial Advisory Related Regulations
About This Course
Located at the heart of Asia, Singapore offers global investors unparalleled access to the Asian markets - one of the world’s fastest-growing regions. With an extensive range of financial products, Singapore offers investors a wide range of investment opportunities. The authority in Singapore has kept up with the pace of a modern financial market in the supervision of financial institutions. Understanding regulatory obligations becomes a key aspect for financial advisers who are expected to help their financial institutions to achieve compliance.
- Understand the purpose of financial advisory regulations
- Understand the local financial advisory regulatory framework
- Identify the need for licensing
- Case study: Mis-selling
- Know how to manage mis-selling and conduct risk in financial adviser’s activities
Module 1: Purpose of Financial Advisory Regulations
Module 2: Local Financial Advisory Regulatory Framework
Module 3: Financial Products Requiring Licensing
Module 4: Case Study: Mis-selling
Module 5: Ethics in Financial Advisory Activities
Module 6: Effective Management of Financial Advisory
The Financial Training Scheme (“FTS”)
The Financial Training Scheme (“FTS”) is a training incentive scheme supported by the Financial Sector Development Fund (FSDF). The scheme supports financial sector-specific training programmes that raise the competency of the financial sector.
All our programmes are approved for listing on the Financial Training Scheme (FTS) Programme Directory and are eligible for FTS claims, subject to all eligibility criteria being met. For latest development on the Enhanced Funding Support for IBF FTS, please visit the Financial Training Scheme site.
Early Bird Discount
Enjoy 10% early bird discount when you register one (1) month before the course commencement date.