Course curriculum

  • 1. The Importance of Accountability in a Financial Institution

    • 1.1 Opening Up of Economies

    • 1.2 Industry Challenges

    • 1.3 Potential in the Industry

    • 1.4 What Happens When Accountability is Lacking

    • 1.5 Accountability and Professional Conduct

    • 1.6 The Importance of Accountability

  • 2. Good Customer Outcomes

    • 2.1 Good Customer Outcomes

    • 2.2 How Can Financial Institutions Assess Customer Outcomes?

    • 2.3 How Can Financial Institutions Ensure Good Customer Outcomes?

    • 2.4 Accountability

    • 2.5 Personal Integrity

  • 3. Risks Associated with Poor Professional Conduct

    • 3.1 Questions to Ask Your Board

    • 3.2 What are Associated Risks?

    • 3.3 Possible Ramifications

    • 3.4 The Importance of Accountability and Professional Conduct

  • 4. Ensuring Responsible Professional Conduct

    • 4.1 What Should Institutions Focus On?

    • 4.2 Having Adequate Resources

    • 4.3 Maintaining Proper Requirements

    • 4.4 Risk Management

    • 4.5 Staying Compliant

    • 4.6 “Chinese Walls”

    • 4.7 Institutional Policy

    • 4.8 Restrictions on Insider Trading

    • 4.9 Achieve and Maintain High Levels of Professionalism and Ethical Practices

  • 5. Consequences of Non-Compliance

    • 5.1 Monetary Authority of Singapore

    • 5.2 Guidelines on Individual Accountability and Conduct

    • 5.3 Securities and Futures Act Section 101A

    • 5.4 Guidelines on Fit and Proper Criteria (FSG-G01)

  • 6. Summary

    • 6.1 Accountability is Non-Negotiable

  • 7. Assessment

    • Instructions

    • Questions