Customer Onboarding & Ethical Culture in Financial Advisory (eLearning)
Ethics, Compliance & Professional Standards for HNWI Advisory
The financial advisory profession demands more than technical knowledge; it requires unwavering ethical practices and leadership. This module transforms compliance obligations into competitive advantage, giving learners a framework to excel where regulations and ethics meet everyday practice.
Module Focus:
HNWIs and Family-owned businesses customer onboarding processes, compliance and AML safeguards, ethical code and professional conduct, building a culture of ethics, trust and professionalism.
GCE 'A' Level (2 'A's and 2 'O's) or Diploma + 3 years relevant working experience
📜 Part of Certification: This is a core module of the SCFP-HNWI certification program.
The Challenge
HNWI advisory involves complex ethical situations, regulatory requirements, and professional liability risks. Advisors must navigate AML, KYC, and fiduciary responsibilities while maintaining highest professional standards.
The Solution
Learn to lead professional practice with integrity, incorporate ethical risk controls into every stage of the client-advisor journey, and demonstrate to clients, regulators, and employers that you are the trusted professional of choice.
Key Outcomes
Apply MAS requirements for customer onboarding and AML/CFT controls
Apply ethical principles, financial markets code of conduct, and market practices into financial planning practices
Foster ethical decision-making and organisational culture
What You'll Learn
Customer Onboarding & AML
- •KYC/CDD/AML regulations for financial advisors
- •Customer acceptance checking procedures
- •Fraud and AML detection techniques
- •MAS requirements for customer onboarding
Counter-Terrorism & Financial Crime
- •Counter-Financing of Terrorism (CFT) scenarios
- •Proliferation Financing mitigation
- •Financial Services Industry best practices
- •Regulatory compliance frameworks
Ethics & Professional Conduct
- •Ethical principles in financial advisory
- •Financial markets code of conduct
- •Professional ethics pronouncements
- •Market practices and standards
Ethical Culture Building
- •Fostering ethical decision-making
- •Building organisational ethical culture
- •Social and environmental performance reporting
- •Leading with integrity in HNWI advisory
Who Should Attend?
Course Fee & Funding
Contact Us for Course Fee Information
This module is part of the SCFP-HNWI certification program. Contact us for detailed pricing and IBF funding information.
Funding:
This course has been accredited under the Skills Framework for Financial Services and is eligible for funding under the IBF Standards Training Scheme (IBF-STS), subject to all eligibility criteria being met. Participants are advised to assess the suitability of the course and its relevance to his/her business activities or job roles.
The IBF-STS is available to eligible entities and individuals based on the prevalent funding eligibility, quantum and caps. IBF-STS provides up to 70% course fee subsidy support for direct training costs subject to a cap of S$3,000 per candidate per course subject to all eligibility criteria being met.
Find out more on www.ibf.org.sg.
Frequently Asked Questions
Ready to Earn Your SCFP-HNWI™ Certification?
This module is part of the complete SCFP-HNWI certification program. Register your interest to secure your place in the inaugural cohort.