course bundle
RULES AND REGULATIONS IMPACTING FINANCIAL SERVICES
The financial industry carries a heavy responsibility as it is the foundation for the economic system. It is vital to have a well-oiled financial system to ensure the smooth-running of businesses and commerce.
As the industry grows, so will the need to regulate and supervise its activities. MAS' Enforcement Department was established to promote financial stability and maintain the creditability of the system.
*IBF – FTS & Core FAA/SFA CPD Accredited.
Core CPD: 5.5hrs.
- Know the regulatory and supervisory structure for financial advisory services
- Know what financial representatives are expected to do to comply with the relevant rules and regulations including their role in managing conduct risks
- Know and understand pertinent rules and regulations concerning financial advisory services
- Know and understand the consequences of not complying with the rules and regulations
FTS funding is available for this course for Singapore citizens & PR. Please email us at enquiries@comeandsee.com.sg and we will reply to you within 2 working days.
For concessionary fees, please email us at enquiries@comeandsee.com.sg.
If you wish to apply for FTS funding, please send us an email at enquiries@comeandsee.com.sg and we will reply within 2 working days.
| title | estimate time (hours) |
|---|
| Rules and Regulations Impacting Financial Services | |||
| Module 1: The Regulatory Landscape | 01:30 | ||
| Module 2: The Rules of Conduct | 01:30 | ||
| Module 3: Remuneration, KPIs and Conduct Standards | 02:30 | ||
Adeline Koh
