Rules & Regulations-Financial Advisory - CyberQuote (Training)

Rules & Regulations

This is an intensive programme for participants to learn more about the rules & regulations in Financial Market Industry. This programme is to ensure potential financial advisers/representatives possess the requisite knowledge of the regulatory framework, including laws & regulations, and associated codes, notices, practice notes, security and guidelines governing the capital markets and insurance intermediaries in Singapore. The programme will be conducted through E-Learning. Through this programme, you will learn how to become a better financial advisor in the current environment.

Programme Structure

There are 6 E-Learning modules in this programme with total duration 8 CPD hours.
Successful completion MCQ Assessment after the training session shall be 70% passing rate.
Participants shall answer all 15 questions within the time given.
There will be a processes and procedures in place to authenticate and track that the specific representative is the one taking the E-learning course and assessment(e.g. individual login, administering the assessment in a controlled environment):

  • Module 1: Fair Dealing Guidelines (2 core CPD hours)
  • Module 2: Anti-Money Laundering & Countering the Financing of Terrorism (AML/CFT) (2 core CPD hours)
  • Module 3: Conducting Customer Due Diligence (1 core CPD hour)
  • Module 4: Information Securities Awareness- Singapore Regulatory Requirements (1 core CPD hour)
  • Module 5: Key Principles of Information Securities (1 core CPD hour)
  • Module 6: Personal Data Protection (1 core CPD hour)

Programme Objectives

  • Understand the latest regulatory rules for investment, insurance planning and new standards for practitioners of financial planning
  • Awareness of laws and regulations relevant to the FA Reps industry in Singapore
  • FA Reps are kept abreast of the trends and developments of the relevant laws and regulations relating to the FA business
  • How to conduct CDD and assess the AML/CFT risk of customers
  • Steps to help with the verification and identification of new customers and their source of wealth and source of funds
  • How to spot and detect patterns and suspicious activity
  • Learn about the different levels of information classification and the right ways to handle them
  • Know the importance of key items within Information Security (IS)
  • Identify the Information Security Policies and Standards

Learning Outcomes

  • Gain an understanding of the relevant provisions of the Financial Advisors Act and applicable regulations relevant for financial advisers
  • Discuss regulatory issues which financial advisors have to deal with including prevention of money laundering and countering the financing of terrorism
  • Analyse and illustrate understanding of the relevant legal and regulatory principles by recommending appropriate advice/course of action with specific outcomes in mind

Practitioners in the following Sectors:

  • Anti-Money Laundering
  • Banking
  • Capital Markets
  • Financial Services
  • Priority Banking
  • Relationship Management-Retail Banking

Training Focus

  • Financial Industry Developments
  • Functional Competencies

Competency Level

  • Level 1 & 2

The course content is divided into several topic areas;

  • Fair Dealing Guidelines
  • Anti-Money Laundering & Countering the Financing of Terrorism (AML/CFT)
  • Conducting Customer Due Diligence
  • Information Securities Awareness- Singapore Regulatory Requirements
  • Key Principles of Information Securities
  • Personal Data Protection





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