Located at the heart of Asia, Singapore offers global investors unparalleled access to the Asian markets - one of the world’s fastest-growing regions. With an extensive range of financial products, Singapore offers investors a wide range of investment opportunities. The authority in Singapore has kept up with the pace of a modern financial market in the supervision of financial institutions. Understanding regulatory obligations becomes a key aspect for financial advisers who are expected to help their financial institutions to achieve compliance.

• Understand the purpose of financial advisory regulations
• Understand the local financial advisory regulatory framework
• Identify the need for licensing
• Case study: Mis-selling
• Know how to manage mis-selling and conduct risk in financial adviser’s activities

Module 1: Purpose of Financial Advisory Regulations

Module 2: Local Financial Advisory Regulatory Framework

Module 3: Financial Products Requiring Licensing

Module 4: Case Study: Mis-selling

Module 5: Ethics in Financial Advisory Activities

Module 6: Effective Management of Financial Advisory