RES 1A - Rules, Ethics and Skills for Securities Exchange Dealers

  • Exam Syllabus
  • Exam Format
  • Exam Fees
  • Exemptions

- The Capital Markets Industry in Singapore and Participants in the Capital Markets
- Licensing and Business Operations*
- The Trading Infrastructure and Systems*
- Market Conduct*
- Ethics, Codes and Standards of Professional Conduct for Securities Dealing
- Dealing in Securities - Practices & Skills
- Central Provident Fund Investment Scheme (CPFIS)
- Prevention of Financial Crimes

*Requirements under the Sec​urities & Futures Act, and the SGX-ST rules are covered in these chapters.

Format: 100 MCQs (computer-based)
Duration: 2.5 hours
Pass mark: 75%

The exam results will be displayed on the computer screens after the exam. Printed result slips will not be issued.
  Fees before GST
  1st Attempt Subsequent Attempt
Corporate Members $165 $145
Non-Members $200 $180

There are no exemptions for RES 1A because it is a Rules & Regulations examination.


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