RULES AND REGULATIONS IMPACTING FINANCIAL SERVICES
By Comeandsee Global | 07 Jan 2021
The financial industry carries a heavy responsibility as it is the foundation for the economic system. It is vital to have a well-oiled financial system to ensure the smooth-running of businesses and commerce.
As the industry grows, so will the need to regulate and supervise its activities. MAS’ Enforcement Department was established to promote financial stability and maintain the creditability of the system.
- Know the regulatory and supervisory structure for financial advisory services.
- Know and understand pertinent rules and regulations concerning financial advisory services.
- Know what financial representatives are expected to do to comply with the relevant rules and regulations including their role in managing conduct risks.
- Know and understand the consequences of not complying with the rules and regulations.
- Know the remuneration framework for representatives.
- Understand how variable income range is impacted by the Balance Scorecard (BSC).
- Know the standards of conduct for financial advisers and their representatives.
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$152 | Core CPD: 5.5 hrs
This course includes:
- Level: Intermediate
- Access on mobile and PC
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- Certificate of completion
ADELINE KOH – Lead Content Expert
Adeline graduated with a Bachelor of Social Science (Hons) degree in Economics from the National University of Singapore. She is also a Fellow of the Chartered Insurance Institute, UK and a Certified Risk Professional Manager, ARiM.