The Securities and Futures Act (“SFA”) provides a wide coverage in governing the capital markets whereby some activities are prohibited by the law and can constitute a form of financial crime if practised. This course will highlight the regulatory risks faced by the appointed representatives.

• What constitutes a financial crime?
• The different categories of financial crime
• The different types of financial fraud
• The potential impacts of acquiring benefits from committing financial crimes
• The internal process to prevent and report financial crimes

Module 1: What Constitutes a Financial Crime

Module 2: The Different Category of Financial Crimes

Module 3: The Different Types of Financial Fraud in the Capital Markets

Module 4: The Potential Impact from Acquiring Benefits from Financial Crime

Module 5: Internal Process to Prevent and Report Financial Crime