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

• Describe the need for Corporate Governance in the financial sector & possible breach in ethical conduct and integrity resulting in investment losses.
• Distinguish the purpose and application of Chinese Wall Policy to prevent market abuse and misuse of information in safeguarding the interest of investors 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 in line with good governance & corporate behavior.