P200617XDO

Ethics in the Financial Industry

Programme Scheme : FTS and, Core FAA / SFA CPD


Programme Title Ethics in the Financial Industry
Programme Scheme FTS and, Core FAA / SFA CPD
Training Provider Investment Management Association of Singapore (IMAS)
Purpose of Programme

This module is tailored for investment management professionals in Singapore and is designed to meet the MAS’ requirement under SFA04-N09 where an appointed representative of a holder of a capital markets services licence is required to complete 6 hours of Core CPD training in ethics, rules or regulations or both, that is relevant to the type of regulated activity he conducts. With effect from 1 January 2019, under the MAS’ Notice on Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services Licence and Exempt Financial Institutions (“SFA04-N09”), an appointed representative of a holder of a capital markets services (CMS) licence must complete by the end of every calendar year: 1. Core CPD hours: 6 hours in ethics or rules and regulations or both, which is relevant to the type or types of regulated activity he carries out; and 2. Supplementary CPD hours: 3 hours of relevant training courses. Only training hours of courses in ethics or rules and regulations, or both, as the case may be, which are accredited by IBF will be counted towards the Core CPD hours.

Programme Website http://www.imas.org.sg/ilearn
Programme Prospectus Click here to download file
Type of Programme E-Learning
Industry Segment Asset Management
Location of Training Singapore
Training Duration/ CPD Hours: Total: 1 Hr(s)

Core FAA CPD: 0 Hr(s)
Core SFA CPD: 1 Hr(s)
Name of Contact Person: Benedict Tan
Designation Strategy Analyst
DID 62239353
Email benedict_tan@imas.org.sg
Skills Category Skills and Competencies Proficiency Level
A. Business Development and Strategy Management A13. Ethical Culture 3
H. Risk Management, Governance and Regulatory Compliance H10. Industry Knowledge (Laws and Regulations): Asset Management 2
H. Risk Management, Governance and Regulatory Compliance H11. Industry Knowledge (Laws and Regulations): Capital Markets 2
H. Risk Management, Governance and Regulatory Compliance H13. Industry Knowledge (Laws and Regulations): Financial Markets 2
H. Risk Management, Governance and Regulatory Compliance H25. Regulatory Compliance 3

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