Courses
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KYC/CDD Principles
CPD 1 Hour | FAA CORE 1 Hour
Staff at financial institutions are the first line of defence to prevent money laundering and key Know Your Clients (KYC) and Customer Due Diligence (CDD) principles must be understood and put into practice. -
Fit and Proper Requirements for Appointed SFA/FAA Representatives
CPD 1 Hour | FAA/SFA CORE 1 Hour
As different appointments and designations entail different responsibilities, the Fit and Proper Guidelines would be applied in a manner and to the extent that is suitable to the relevant circumstances. -
Financial Crime in Capital Markets Context
CPD 1 Hour | SFA CORE 1 Hour
The Securities and Futures Act (SFA) governs the capital markets where some activities are prohibited and can be a form of financial crime. This course highlights the risks faced by appointed representatives. -
Financial Advisory Related Regulations
CPD 1 Hour | FAA CORE 1 Hour
Located at the heart of Asia, Singapore offers global investors unparalleled access to the Asian markets—one of the world’s fastest-growing regions. -
Fair Dealing
CPD 1 Hour | FAA/SFA CORE 1 Hour
To promote fair dealing by financial institutions when conducting business with customers, MAS has set out five key fair dealing outcomes and explains why each outcome is important. -
Ethics and Conflicts of Interests
CPD 1 Hour | FAA/SFA CORE 1 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.