Courses
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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. -
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. -
Accountability and Professional Conduct
CPD 1 Hour | FAA/SFA CORE 1 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. -
Technology Risk
CPD 1 Hour | FAA/SFA CORE 1 Hour
It is important for financial institutions that are exposed to an increasingly diverse spectrum of technological applications to identify and put up a strong defence to this exposure. -
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 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.