LEARNING OBJECTIVES

At the end of the module, participants will be able to:

1. Describe the key players and their roles within the capital markets and fund management industry in Singapore, using industry-standard terminology and considering the current regulatory landscape.
   
   
2. Identify and explain the main rules, regulations, and guidelines governing fund management in Singapore, including the Securities and Futures Act (SFA) and the Securities and Futures (Licensing and Conduct of Business) Regulations (SF(LCB)R), in accordance with MAS requirements.
   
   
3. Understand and differentiate the licensing and registration requirements for fund management companies in Singapore, including the criteria for obtaining a Capital Markets Services (CMS) license, as per the MAS Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies.
   
   
4. Recognize and adhere to the ongoing business conduct and compliance requirements for fund management companies, such as custody, valuation, reporting, and conflicts of interest management, in line with the relevant MAS notices and guidelines.
   
   
5. Describe the roles of key stakeholders, differentiate between trade surveillance systems, and apply best practices from the MAS-SGX Trade Surveillance Practice Guide.
   
   
6. Identify and avoid market misconduct practices, such as insider trading and market manipulation, and understand the enforcement actions and penalties for such misconduct, as stipulated by the MAS under the Securities and Futures Act.
   
   

MODULE OUTLINE

This training programme is newly launched in May 2025. Click here to view the full course prospectus.

TYPE OF COURSE

E-Learning

FEE*

IMAS Member: $140

Non-IMAS Member: $150

*FTS-Eligible
 
This course is recognised under the Financial Training Scheme (FTS) and is eligible for FTS claims subject to all eligibility criteria being met. Please note that in no way does this represent an endorsement of the quality of the training provider and course.  Participants are advised to assess the suitability of the programme and its relevance to participants’ business activities or job roles. 

The FTS is available to eligible entities based on the prevalent funding eligibility, quantum and caps. FTS claims may only be made for recognised programmes with specified validity period. Please refer to www.ibf.org.sg for more information. 

Kindly note that the FTS scheme is only available for company-sponsored individuals.