financial services institute

About the Course

This course is designed for directors and staff working in the securities investment sector and equips you with the necessary knowledge of corporate governance, internal controls, market conduct, and client-related practices required under CIMA’s rules, statement of guidance and measures related to to securities investment businesses licensed or registered by CIMA. By the end of this course, you will be equipped with knowledge to maximise your securities investment business adherance to high standards of market conduct, ethics, transparency, and compliance.

Course details

Fully Online Course

Duration: 1 hour

Cost: US$300

What’s on the agenda?

Description
Corporate Governance
Internal Controls
Market Conduct
Insider trading

Market Manipulation

    • – Conflict of Interest in Market Conduct
    • – Professional Standards for License Holders
    • – Disclosure Requirements
    • – Best Execution Obligations
    • – Ethical Conduct in Trading
    • – Disclosure of Fees and Charges
Client Understanding, Suitability and Disclosure
Case Studies in Insider Trading and Fraud
Online multiple choice testing

Pre-register for the course now

Complete the form to pre-register for the next available course.

By pre-registering you are allowing FSI to record your interest and contact you with details of the date and time the next available course(s) will be delivered.

Get your career started in
the financial services industry, today!