Ethics-Financial Advisory -

This is an intensive programme for participants to learn more about the ethical and professional standards applicable to financial advisories. Knowledge will also be shared surrounding the key recommendations of the Financial Advisory Industry Review (FAIR), and how to implement it. The program will be conducted through lecturing, case studies and group discussions. Through the program, you will learn how to become a better financial advisor in the current environment.

Programme Objectives

  • Understand the importance of Ethics in today’s landscape
  • Understand the difference between Compliance and Ethics
  • Define Moral Issues and Motivation for Ethical Professionalism
  • Understand the framework and identity obstacles for Ethical Decision Making
  • Understand the Ethical Culture and Codes for Ethical Standards
  • Identify the best practices for marketing financial products
  • Understanding the practical applications of Ethical Standards


Learning Outcomes

  • Ability to recognize ethical issues in financial advisory landscape
  • Ability to go beyond compliance for ethical practices
  • Ability to recognise moral issues and be motivated to practice ethical standards
  • Ability to make decision based on a structured process, avoiding obstacles and pitfalls
  • Ability to embrace the ethical culture through established code of ethical and sales practice for the financial advisory business
  • Understanding to market financial products ethically and with full disclosures and ability to apply ethical skills to sales practice


Programme Structure

  • Designed for FA Reps to enhance their understanding of fundamental ethical practices in their sales interaction with clients, in relation to the regulatory framework and workplace practices
  • Conducted in English with a classroom training/ small group discussion / case studies (3.5hrs) / multiple choice questionnaire (MCQ) Assessment (0.5hrs)
  • Highly interactive with lecturer, exercises, role play, case study scenarios, sharing of real life experiences and discussions, resulting in comprehensive understand of the subject matter and retention for future adaptation
  • Upon successful completion of the programme, FA Reps to be eligible for the 4 hours CPD requirements, under the MAS Guildelines for FA Reps

  • Anti-Money Laundering
  • Banking
  • Capital Markets
  • Financial Services
  • Priority Banking
  • Relationship Management- Retail Banking

Training Focus

  • Financial Industry Developments
  • Functional Competencies

Competency Level

  • Level 1 & 2

The course content is divided into several topic areas;

  • Overview of Ethics in the Financial Advisory Context
  • Ethics & Compliance
  • Moral Issues and Motivation to Ethical Practice
  • Ethical Decision Making Process & Obstacles
  • Building an Ethical Culture
  • Code of Ethical Practice – Professionalism
  • Code of Sales Practice- Sales Advisory Process
  • Ethics in Marketing & Business Conduct Practices
  • Today’s Selling Environment for Ethical Standards
  • Case Studies









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17 Phillip Street #02-00
Grand Building
Singapore 048695

Mainline : 6505 0199