Course Information

Date :

Time :

Duration : 3 hours

Accredetation :

SIDC CPE points: 10 CPE points
Contact Us
For course registration please contact admin, we are committed to answer all enquiries within 24 hours on business days.
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+603 6263 2995
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
