Courses
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Ethics and Conflicts of Interests
1 FAA/SFA CORE Hour
The staff of financial institutions must put up their best behaviour even when no one is watching, and observing good business ethics beyond regulatory requirement is a core attribute for success. -
Cybersecurity Awareness for Financial Services
1.5 FAA/SFA CORE Hours
For both front-line and back-office staff, this course raises awareness of cybersecurity, its threats, the associated regulations and compliance, and appropriate preventive measures and responses. -
Securities Related Regulations
1 FAA/SFA CORE Hour
As financial institutions are exposed to an increasingly diverse spectrum of compliance exposures, it is difficult for their appointed representatives to keep up with them. -
Accountability and Professional Conduct
1 FAA/SFA CORE Hour
This course will highlight the regulatory risks focus that regulators are putting on appointed representatives globally as they step up their focus on potential malpractices that could harm investors. -
AML Regulations
1 FAA/SFA CORE Hour
As financial markets remain accessible to global investors and are volatile, cross-border movements of money has become increasingly common and financial institutions are ripe for financial crimes.