• Date:

    Tuesday, 08 September 2020

  • TIME:

    2.00pm to 5.00pm

  • VENUE:


Ethics, Rules and Regulations


This programme is designed for appointed representatives of CMS Licence Holders, Exempt FIs and Financial Advisers seeking to complete their annual core Continuing Professional Development (CPD) training. With experienced trainers in the areas of Ethics, Compliance, and AML/CFT, this course will use lecture materials along with case studies to provide continuing education for appointed representatives to keep abreast of developments in the industry and update their skills and knowledge relevant to the activities they conduct. Candidates who successfully complete this 1-Day training programme will be deemed to have completed the mandatory structured CPD training and be accorded with 6 CPD hours as stipulated under the Financial Adviser Act (FAA-N13) and the Securities & Futures Act (SFA 04-N09).

This course is eligible for Financial Training Scheme (FTS) funding. The FTS provides 50% funding for direct training costs subject to cap of S$2,000 per participant per programme. Please email funding@ibf.org.sg for claim procedures.

Register now for our virtual class on 8 September 2020 !

Find our course on IBF website


  • Culture & Conduct
  • Ethics Fundamentals
  • Critical Elements of Ethical Thinking
  • How to Make an Ethical Decision
  • Conflicts of Interest
  • Reporting
  • Introduction & Activity
  • Regulatory Frameworks
  • The Securities & Futures Act (SFA)
  • The Financial Advisers Act (FAA)
  • FAA Notices / Guidelines
  • FAIR Review & Balanced Scorecard (BSC)


Sam Gibbins

Founder, Complilearn