Rules & Regulations


This is a programme for participants to learn more about the rules & regulations in Financial Market industry. This programme aims to equip financial representatives with the requisite knowledge of the regulatory framework, including the laws & regulations, and associated codes, notices, practice notes and guidelines governing the capital markets and insurance intermediaries in Singapore. The program will be conducted through E-Learning. Through the programme, you will learn how to become a better financial representative in the current environment.

Programme Structure

This programme is designed for representatives to enhance their understanding of rules & regulations in capital markets of Singapore when they conduct business with their clients.Successful completion of MCQ Assessment after the training session shall be 70% passing rate.Participants shall answer all 15 questions within the time given.There will be processes and procedures in place to authenticate and track that the specific representative is the one taking the E-learning course and assessment(e.g. individual login, administering the assessment in a controlled environment):

Module 1: Fair Dealing Guidelines

Module 2: Anti-Money Laundering & Countering the Financing of Terrorism (AML/CFT)

Module 3: Conducting Customer Due Diligence

Module 4: Information Securities Awareness- Singapore Regulatory Requirements

Module 5: Key Principles of Information Securities

Module 6: Personal Data Protection

Module 7: Anti Bribery Corruption

Module 8: Anti Financial Crime

Programme Objectives
  • Understand the latest regulatory rules for investment, insurance planning and new standards for practitioners of financial planning
  • Awareness of laws and regulations relevant to the Financial Representatives industry in Singapore
  • Financial Reps are kept abreast of the trends and developments of the relevant laws and regulations relating to their business
  • How to conduct CDD and assess the AML/CFT risk of customers
  • Steps to help with the verification and identification of new customers and their source of wealth and source of funds
  • How to spot and detect patterns and suspicious activity
  • Learn about the different levels of information classification and the right ways to handle them
  • Know the importance of key items within Information Security (IS)
  • Identify the Information Security Policies and Standards
Learning Outcomes
  • Gain an understanding of the relevant provisions of the Financial Advisors Act, Securities & Futures Act and applicable regulations relevant for financial representatives
  • Discuss regulatory issues which financial representatives have to deal with including prevention of money laundering and countering the financing of terrorism
  • Analyse and illustrate understanding of the relevant legal and regulatory principles by recommending appropriate advice/course of action with specific outcomes in mind
Practitioners in the following Sectors:
  • Anti-Money Laundering
  • Banking
  • Capital Markets
  • Financial Services
  • Priority Banking
  • Relationship Management-Retail Banking
Training Focus
  • Financial Industry Developments
  • Functional Competencies
Competency Level
  • Level 1 & 2