Course Information

Date :

Time :

Duration : 3 hours

Accredetation :

SIDC CPE points: 10 CPE points

Learning Outcome

Upon completion of the above programme, participants will be able to:

  • Describe the various legislative restrictions & requirements imposed by laws, regulations and guidelines especially in the investment sector & possible penalties for non-compliance.
  • Distinguish the purpose and application of these provisions in safeguarding the interest of consumers while protecting the financial market.
  • Examine the extent of regulators powers to control and regulate the financial service providers especially in marketing and selling various investment products.

Course Content

LEGAL INVESTMENT CONTRACTS

ILLEGAL FINANCIAL / PONZI SCHEME

DUTIES OF SECRECY & PERMITTED DISCLOSURE

TRANSPARENCY REQUIREMENTS IN SELLING INVESTMENT PRODUCTS

PROHIBITED BUSINESS CONDUCT/MARKET MANIPULATION

PROHIBITED CONDUCT IN MONEY MARKET, FOREIGN EXCHANGE MARKET OR STOCK MARKET

OFFENCES RELATING TO ENTRIES IN INVESTMENT BOOKS & DOCUMENTS