Courses
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Securities Related Regulations
CPD 1 Hour | FAA/SFA CORE 1 Hour
As financial institutions expose to an increasingly diverse spectrum of compliance exposures, it is difficult for their appointed representatives to keep up with them. -
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. -
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. -
AML Regulations
CPD 1 Hour | FAA/SFA CORE 1 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.