P210203VRL

Graduate Diploma in Compliance in Financial Services - Compliance Risk and Compliance Culture

Programme Scheme : IBF-STS and, Core FAA / SFA CPD


Programme Title Graduate Diploma in Compliance in Financial Services - Compliance Risk and Compliance Culture
Programme Scheme IBF-STS and, Core FAA / SFA CPD
Training Provider Wealth Management Institute Limited
Purpose of Programme

Compliance risks have become the biggest risks for global financial institutions. In the worst case, they threaten the very existence of these firms. Compliance risks are driven by regulation and en-forcement by supervisory and criminal authorities. These in turn are the result of a combination of political and social factors and changes in public values. These changing values influence both regulators and law enforcement agencies. This course is designed to allow participants to identify and distinguish the major compliance issues and risks and their evolution from other legal risks. It outlines regulators' expectations of the core ethical values of regulated firms and their compliance systems, and describes the compliance risks to firms, their managers, and compliance officers personally. This course is stackable towards the Graduate Diploma in Compliance in Financial Services (GDC).

Programme Website https://wmi.edu.sg/
Programme Prospectus Click here to download file
Type of Programme Training & Assessment
Industry Segment Asset Management, Capital Markets, Compliance, Corporate Banking, Private Banking and Wealth Management, Retail Banking
Location of Training
Training Duration/ CPD Hours: Total: 13 Hr(s)
1.5 Full Day(s) over 1 Week(s)

Core FAA CPD: 13 Hr(s)
Core SFA CPD: 13 Hr(s)
Name of Contact Person: Benjamin Teow
Designation Lead Programme Manager
DID 97763147
Email benjaminteow@wmi.edu.sg
Skills Category Skills and Competencies Proficiency Level
A. Business Development and Strategy Management A13. Ethical Culture 4
H. Risk Management, Governance and Regulatory Compliance H3. Business Risk Assessment 4
H. Risk Management, Governance and Regulatory Compliance H6. Corporate Governance 4
H. Risk Management, Governance and Regulatory Compliance H30. Risk Management 4

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