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.

Learning Outcomes

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.