Course curriculum

  • 1. Singapore’s Approach to Fit and Proper Requirements

    • 1.1 The Need for Fit and Proper Requirements

    • 1.2 Promote and Cultivate

    • 1.3 Monitor and Assess

    • 1.4 Enforce and Deter

    • 1.5 The Three-Pronged Approach

  • 2. Understanding Fit and Proper Requirements

    • 2.1 Regulator’s Expectations

    • 2.2 Who is Covered?

    • 2.3 Relevant Person 01

    • 2.4 Relevant Person 02

    • 2.5 Relevant Person 03

    • 2.6 Relevant Person 04

    • 2.7 Relevant Person 05

    • 2.8 Relevant Person 06

    • 2.9 Relevant Person 07

    • 2.10 Relevant Person 08

    • 2.11 Relevant Person 09

    • 2.12 Relevant Person 10

    • 2.13 Relevant Person 11

    • 2.14 Relevant Person 12

    • 2.15 Relevant Persons 13 - 17

    • 2.16 Key Criteria

  • 3. Due Diligence Needed for Proposed Representatives

    • 3.1 The Responsibility of Financial Institutions

    • 3.2 Self-Declaration

    • 3.3 In Addition to Points 1 to 14…

    • 3.4 Financial Soundness

    • 3.5 Provided False or Mis-Leading Statement

    • 3.6 Probity Checks

  • 4. Assessing Competence, Capability, and Conflicts of Interest

    • 4.1 Competence and Capability

    • 4.2 Conflicts of Interest

  • 5. Ongoing Measures

    • 5.1 Periodic Self-Declarations

    • 5.2 Regular Checks

  • 6. Assessment

    • Instructions

    • Questions