Skip Ribbon Commands
Skip to main content


  • ​​Understanding the regulatory environment which a financial adviser representative operates in and the various Regulatory Acts governing this environment
  • The Representative Notification Framework (RNF) framework process and rationale
  • Recommendations in FAIR, Financial Advisors Act and Insurance Act and MAS Mystery Shopping Survey findings
  • Understanding the Balanced Scorecard Framework and its implications
  • Wealth management risk families, client investment profile and suitability, complaint handling process
  • Anti-Money Laundering (AML), Countering the Financing of Terrorism (CFT) and PEP
  • Understanding the various lines of defence, internal controls and post sales process
  • Data Collection, Information G​athering, Record Keeping & Documentation
  • Understanding the various Codes of Conduct and reflecting on one's own code of conduct
  • Difference between ethics and compliance
  • Building trust and competency and protecting client’s interest
  • Increase participant’s sensitivity to ethical issues and provide them with tools for effective resolution of ethical dilemmas
  • Developing your personal framework for ethical decision making
Not sure which programme to go for? Use our programme finder
Loading header/footer ...