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 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.