IBF Accredited → Compliance

Rules and Regulations Impacting Financial Advisory Services (RAR010A)

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.

By the end of this course, you will:
- 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

This course is IBF – FTS & Core FAA CPD Accredited.
Core CPD: 5.5hrs.

FTS funding is available for this course for Singapore citizens & PR. Please email us at enquiries@comeandsee.com.sg and we will reply to you within 2 working days.

For concessionary fees, please email us at enquiries@comeandsee.com.sg.

For details on FTS funding, please check out the FAQ under the 'More' tab (above). And if you wish to apply for FTS funding, please send us an email at enquiries@comeandsee.com.sg and we will reply within 2 working days.

Course Duration: 5.5 hr CPD Hours: 5.5 hr

  • Module 1: The Regulatory Landscape
  • Module 1: Assessment
  • Module 2: The Rules of Conduct
  • Module 2: Assessment
  • Module 3: Remuneration, KPIs and Conduct Standards
  • Module 3: Assessment
  • Final Assessment
  • Feedback Survey
Completion rules
  • The course duration needs to be completed in order to gain the CPD hours.
  • Leads to a certificate with a duration: 1 year