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Rules & Regulations Impacting Financial Advisory Services
Course modified date: 6 October 2025
- Course Duration:6.0 hr
- Course Accreditation:FTS & Core FAA
- Course Full Fee:SGD 320
Course information
Synopsis
This course is designed to equip professionals with knowledge on the regulatory and supervisory structure for the financial advisory services as well as an understanding of the pertinent rules and regulations concerning these services. Professionals will also gain knowledge on their role in managing conduct risks as well as the relevant rules and
regulations they are expected to comply to and consequences of not complying.
Learners will be presented with sample case studies and interactive quizzes that will help understand further the rules and regulations present in the industry.
Learning Objectives
- (1) Know the regulatory and supervisory structure for financial advisory services
(2) Know and understand pertinent rules and regulations concerning financial advisory services
(3) Know what financial representatives are expected to do to comply with the relevant rules and regulations including their role in managing conduct risks
(4) Know and understand the consequences of not complying with the rules and regulations
(5) Know the remuneration framework for representatives
(6) Understand how variable income range is impacted by the Balance Scorecard (BSC)
(7) Know the standards of conduct for financial advisers and their representatives
Course Instructor
Adeline Koh
Compliance, Risk & Ethics Trainer
Former MAS insurance supervisor with over 20 years of experience. Specialist in ethics, compliance, and personal data protection training. Supports regulated financial institutions in developing PDPM frameworks and delivers compliance advisory and e-learning content.
Funding Options
FTS funding is available for this course for Singapore citizens & PR. Please email us at smartlearn@comeandsee.com.sg and we will reply to you within 2 working days.
Concessionary rates are also available for bulk enrolments. Please email us at smartlearn@comeandsee.com.sg and we will reply to you within 2 working days.