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Ethics and Conflicts of Interests

About This Course

The staff of financial institutions must put up their best behaviour even when no one is watching. Observing good business ethics beyond regulatory requirement is a core attribute of a successful appointed representative. The integrity of the appointed representative is one of the core success indicators of a financial institution. Learning to manage ethical-struggle situations helps to bring up one’s conduct in the regulated activities. This will also bring up the professionalism in the course of performing the regulated activities.

Learning Outcomes

  • Understand the fundamentals of ethics
  • Recognise the various forms of conflicted positions
  • Case study 1: staff vs. firm
  • Case study 2: firm vs. client
  • Case study 3: staff vs. firm
  • Know the different approaches that are used to management conflicts of interests

Module 1: Fundamentals of Ethics

Module 2: Various Forms of Conflicted Positions

Module 3: Case Study: Staff vs. Firm

Module 4: Case Study: Firm vs. Client

Module 5: Case Study: Staff vs. Firm

Module 6: Effective Management of Conflicts of Interests

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.

Ethics and Conflicts of Interests

FTS

Course Features
  • CPD
    1 Hour
  • FAA/SFA
    1 Hour
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