Ethics, Rules and Regulations

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RHT GRACE Institute, RHT Academy

Ethics, Rules and Regulations

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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. Participants who successfully complete this 1-Day compliance 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). 

Programme Competency Standards: 

  • Analyse local and international industry trends and developments in the capital markets, banking and insurance industry 
  • Advance awareness of Singapore Legal and Regulatory Framework 
  • Apply knowledge of capital markets, banking and insurance industry from a compliance perspective and how its products meet customer’ needs and the associated risks involved 

Learning Objectives & Outcomes: 

Upon completion of the programme, appointed representatives of CMS Licence Holders, Exempt FIs and Financial Advisers will be able to: 

  • Define, identify, understand the regulatory frameworks 
  • Apply knowledge of local and international trends and developments to daily work practices  
  • Maintaining awareness of trends and developments in the regulatory landscape

Content Outline:

   Module 1: Rules & Regulations  

  1. Regulatory Expectations & Enforcement 
  2. Regulatory Focus – Corporate Governance  
  3. Practical Analysis 
  4. Rules & Regulations: Securities and Futures Act (SFA 
  5. Financial Advisers Act (FAA)  
  6. Representatives Fitness & Propriety  
  7. Recommendation on Investment Products: FAA-N01, FAA-G04  
  8. Product Disclosures, Documentation and Record Keeping  
  9. FAIR Review & BSC Framework 
  10. Regulatory Trends & Hot Topics

Module 2: Ethics  

  1. Where Ethics and Regulation meet
  2. Conduct and Culture
  3. Compliance vs Ethics
  4. Conflict of Interest
  5. Individual Accountability and Conduct Guidelines (IACG)
  6. Compliance Reporting
  7. Best Practices
  8. Main Takeaways



Event registration closed.

Date And Time

2021 Nov 30

Registration End Date

2021 Nov 30


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