Code of Conduct for Singapore Financial Services

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Course Description

IBF Accredited – Schemes: FTS; Core SFA/FAA CPD for Asset Management, Capital Markets, Compliance, Corporate Banking, Financial Markets, Financial Planning, General Insurance, Life Insurance, Private Banking and Wealth Management, Retail Banking, Risk Management

Course description

What are the values and standards that financial services employees should comply with in the course of their work?

This online training course covers the basic principles that commonly apply to codes of conduct, with a special focus on the financial services industry in Singapore. The training includes real-life scenarios and engaging graphics to bring the topic to life.

This course introduces the concept of a code of conduct and discusses topics that commonly appear in codes of conduct, including: making ethical decisions at work based on respect, integrity and professionalism; work health and safety standards; protection of company property and personal information; and the rules relating to gifts and conflicts of interest. It also covers the ethics that apply when providing financial advice; the key regulators of the financial services industry; licensing requirements; industry bodies; and AML/CTF requirements.

The course also introduces the way specific codes apply to specific industry sectors in Singapore. It highlights requirements that these codes have in common, and discusses four representative examples of these codes.

The course is fully customisable to allow you to align the training with your specific policies, modes of operation, and regulatory environment. It is suitable to be used as microlearning.

Who should do this training? Target audience / job roles

This training is suitable for all employees and job levels including Sales, Operations, Relationship Management, Customer Services, Legal, Risk, Compliance, and other relevant functions in Financial Services.

Duration

The course should take learners around 20minutes to complete. It is also suitable to roll out as microlearning.

Course outline – Code of Conduct

  • What a financial services industry code of conduct is
  • How a Code of Conduct helps maintain a safe and respectful workplace
  • Codes of conduct and the use of company property
  • How a code can apply to financial crimes and misconduct
  • Specific code of conduct considerations applying to financial services businesses
  • Some representative Singapore Financial Services Industry Codes of Conduct

About the Financial Training Scheme (FTS)

This course is recognised under the Financial Training Scheme (FTS) and is eligible for FTS claims subject to all eligibility criteria being met. Please note that in no way does this represent an endorsement of the quality of the training provider and course. Participants are advised to assess the suitability of the course and its relevance to his/her business activities or job roles.

The FTS is available to eligible entities based on the prevalent funding eligibility, quantum and caps. FTS provides up to 70% course fee subsidy support for direct training costs subject to a cap of S$500 per candidate per course subject to all eligibility criteria being met.