Types of Activities | Rules & regulations | Product Knowledge & Analysis | |||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
Regulated under SFA | 1A | 1B | 2A | 2B | 3 | 4A | 4B | 5 | 10 | 6 | 6A | 8/8A | 9/9A |
Dealing In Securities (SGX- ST Members) | X | X | X | ||||||||||
Dealing in Securities (Non-SGX-ST Members) | X Either Modules X | X | X | ||||||||||
Trading in Futures Contracts (SGX-DT Members) | X | X | |||||||||||
Trading in Futures Contracts – SMX Members | X | X | |||||||||||
Trading in Futures Contracts – Non SGXDT & Non SMX Members | X Either Modules X | X | |||||||||||
Fund Management – Solely Securities Funds | X | ||||||||||||
Fund Management – Solely Futures Funds | X | X | |||||||||||
Fund Management – Solely Futures Funds | |||||||||||||
Fund Management – Both Securities & Futures Funds | X | X | |||||||||||
REIT Management | X | ||||||||||||
Advising on Corporate Finance | X | ||||||||||||
Advising on Corporate Finance – Solely debt Securities | X | ||||||||||||
Regulated activities under FAA | 1A | 1B | 2A | 2B | 3 | 4A | 4B | 5 | 10 | 6 | 6A | 8/8A | 9/9A |
Advising others concerbning securities (Excluding Collective Investment Schemes) | X | X | X | ||||||||||
Advising others concerning futures contracts | X | X | |||||||||||
Advising on and/or marketing of collective investment schemes | X |
2022 E-Learning (Online) | |||
---|---|---|---|
Course Code | Course Title | Duration (Hr) | Trainer(s) |
SRS22-E01 | Ethics for Representatives of Financial Firms | Core (3) | Ms Gladys Ng |
SRS22-E02 | Rules & Regulations for Financial Advisory Services | Core (3) | Mr Chong Lock Kuah |
SRS22-E03 | Introduction to Anti-Money Laundering and Terrorist Financing Legislation | Core (3) | Mr Daniel Chee |
SRS22-E04 | Introduction to Customer Due Diligence (CDD) for Capital Markets Intermediaries (CMI) and Financial Advisers (FA) | Core (3) | Mr Daniel Chee |
SRS22-E05 | How To Make Sense Of Returns, Risk, Diversification And Other Core Concepts Of Investing | 3 | Mr Puah Soon Lim |
SRS22-E06 | Introduction to Special Purpose Acquisition Companies (SPACs) [To be available in Q2] | 3 | Mr Tolmas Wong |
SRS22-E07 | Laws & Regulations in Asset Management (To be available in Q2) | Core (7) | Mr Chong Lock Kuah |
SRS22-E08 | Digital Marketing Essentials for Financial Services Professionals (via Zoom, To be available in Q2) | 9 | Mr Andrew Chow |