5543

Compliance Risk and Compliance Culture

Event Date

From Friday 06 Jan 2023 - 01:00 PM To Monday 09 Jan 2023 - 06:00 PM

Venue

1 Marina Boulevard #16-01 One Marina Boulevard Singapore 018989

Organiser

See Event Outline

Practice Area

Ethics and Professional Responsibility

Training Level

Intermediate

Public CPD Points

8.5

Event Outline

This event is organized by Wealth Management Institute (WMI). This module is designed to allow participants to identify and distinguish the major regulatory and compliance issues and risks and their evolution from other legal risks. It outlines regulators’ expectations of the core ethical values of regulated firms and their compliance systems, and describes the regulatory and compliance risks to firms, their managers, compliance officers and advisors personally.

Event Link

OTH-05M-230015

Event Attachment

+ Event occurs over multiple days