Emerging Compliance Exposures in Financial Industry

About This Course

With financial institutions exposing themselves to a diverse spectrum of compliance exposures, it is increasingly difficult for financial experts to keep on their toes. Financial experts may inadvertently cross the line for market abuse without realizing. Observing good business ethics beyond regulatory requirement is a core attribute of a financial expert. In a volatile financial environment, financial expert is a good prey for financial crimes. The increasing reliance of technology poses a challenge for financial experts to manage their exposure. This course will highlight the emerging risks faced by the financial experts who may be unaware of their existence.

Who Should Attend

  • Financial advisers
  • Relationship manager
  • Private banker
  • Research analysts
  • Portfolio managers
  • M&A specialists

Learning Outcomes

  • Identify, assess and manage compliance exposures from all fronts
  • Emerging compliance exposures exposed to financial expert
  • Understand ethics beyond regulatory requirements
  • Understand the various types of financial crimes associated to activities in the financial industry
  • Understand how different types of financial crimes such as market abuse can be a tipping point
  • Understand the best defence on financial crimes

Compliance Exposure Management

  • Identify compliance exposures in financial adviser’s space
  • Quantify compliance exposures that is identified
  • Manage compliance exposures using recommended techniques

Financial Crimes

  • Characteristics of financial crimes
  • Exposures to financial crime
  • Industry’s best defence to combat financial crime

Conflicts of Interests

  • Situations of conflicts of interests
  • Impact of conflicts of interests
  • Best defence to manage conflicts of interests

Market Abuse

  • Characteristics of non-public information
  • Characteristics of price material information
  • What constitutes market abuse
  • Industry’s best defence to prevent market abuse

Social Engineering

  • Characteristics of social engineering
  • What are the common social engineering events
  • Industry’s best defence to safeguard from social engineering


  • Characteristics of phishing
  • What are the common phishing techniques used
  • Industry’s best defence to safeguard from phishing

Technology Reliance

  • Emerging trend associated to financial advisers in utilizing technology
  • Risk associated with technology reliance
  • Best defence on technology reliance

Teo Puay Wei

BSc Finance

Puay Wei possessed 15 years of working experience in the financial industry. He started his career in the late 1990s and held roles as chief compliance officer and chief risk officer. He specializes in risk management and has exposure to many key Asia Pacific markets.

At his various capacity, he has to deal with complex and non-routine regulatory and risk related matters associated to anti- money laundering and financing of terrorism, code of conduct & ethics, conflict of interest, anti-bribery & corruption, technology risk management, information security, and risk management framework. He has also been involved in training on these subjects.

Puay Wei holds a Bachelor of Science (Finance) from National University of Ireland, and a Diploma in Compliance specializing in Fund Management from International Compliance Training. He is a Financial Industry Certified Professional awarded by The Institute of Banking and Finance.

Puay Wei left his role as a Head of Risk, Asia Pacific for Aberdeen Asset Management Asia Ltd to start consulting and training work in the financial industry for the Asia Pacific region.

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.

Emerging Compliance Exposures in Financial Industry


Course Features
  • Duration
    1/2 Day
  • CPD
    4 Hours
  • RRCE
    4 Hours
This course is offered for our on-site corporate classroom training.
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