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CFA Society Singapore Ethics Workshop (Individual)

Event Description

CFA Society Singapore Ethics Workshop (Individual)

8 November 2019, Friday (9.00am to 4.00pm)

Trainer: Alan Lok, CFA & Chan Fook Leong, CFA

This workshop is eligible for 6 CE hours.


The 6-hour course will sharpen your understanding of ethical issues in the financial industry. 

At the end of this module, you should be able to: 

  • Demonstrate a thorough knowledge of the code of ethics and standards of professional conduct by interpreting the code and standards in various situations involving issues of professional integrity
  • Recommend practices and procedures designed to prevent violations of the code and standards of professional conduct


This ethics programme consists of 3 modules:

Module 1: Two-hours workshop on the code of ethics and standards of professional conduct

  • Code of ethics
  • Standards of professional conduct

           -  Material nonpublic information

           -  Suitability

           -  Knowledge of law

           -  Misconduct

           -  Preservation of confidentiality

Module 2: Three-hour workshop 

Module 3: One-hour of assessment after workshop 


Who should attend?

This training course is specifically designed for:  

  • Financial Advisory Representatives CPD (FAA CPD) - Representatives who provide advice or arrange contract of insurance in respect of mortgage reducing term assurance policies and/ or group term life insurance policies & Representatives who provide advice concerning any investment product, marketing of any collective investment scheme and arranging contract in respect of life policies – Core CPD Hours: 6 training hours in respect of Ethics; or Rules and Regulations, or both, as the case may be – with effect from 1 January 2016 as per MAS Notice FAA-N13

  • Capital Markets Services Representatives CPD (SFA CPD) - Appointed representatives of Capital Markets Services (CMS) licence holders and exempt Financial Institutions (FIs) - Core CPD hours: 6 hours in ethics or rules and regulations or both - with effect from 1 January 2019 as per SFA 04-N09


Participants are not required to have specific prior experience of any of the subject areas. More experienced individuals will be able to build on their knowledge through practical, current case studies. 

Course Fee

CFA Society Singapore Member: S$450* (Early Bird Fee) / S$500* (Standard Fee)

Non-Member: S$500* (Early Bird Fee) / S$580* (Standard Fee)

Early bird fee valid till 18 October 2019

*Prices stated are before 7% GST

*10% off for sign up of 3 or more delegates - For Group Sign-ups, kindly download and complete the registration form HERE and email to



•Registration will only be confirmed upon receipt of the registration form and full payment.
•No cash payment will be accepted for on-site registration.
•If any registered participant is unable to attend, a replacement is welcome, but a top-up may apply depending on the
membership category of the replacement participant. However, no refund would be made.
•CFA Society Singapore reserves the right to:
 * cancel, postpone or make any changes to the terms of the event at its sole discretion without giving any prior notice;
 * reject any registrations;
 * collect payment shortfall in accordance to the actual membership status of participants.
• By signing and submitting this form, I / we consent to CFA Society Singapore collecting, using, disclosing and processing my / our personal data :
  (1)  for purposes related to the administration of the registration for the above event;
  (2)  to send me updates informing me / us of events and activities organized by CFA Society Singapore.

*I understand that my personal data will be used and retained in accordance with the CFA Society Singapore Personal Data Policy available at

*Kinldy note that photographs and video may be taken during the event for use on our website, newsletter, social media, publicity and other related purposes by CFA Society Singapore.



The Global Passport Program allows members of participating CFA societies to attend each other's society events at the local member price

Event Type

Society; Educational; Featured

Education Topic


Start Time

11/8/2019 9:00

End Time

11/8/2019 16:00





Event Country


Event Region

Asia Pacific

Location Info



Alan Lok, CFA & Chan Fook Leong, CFA

CE Credits


SER Credit




Member Price

S$450 (Early-bird fee) / S$500 (Standard fee)

Non-Member Price

S$500 (Early-bird fee) / S$580 (Standard fee)

Candidate Price



Click here​ to register​

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8 November 2019



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Event Short Info

[Workshop] CFA Society Singapore Ethics Workshop (Individual)

Event Link

Learn More


Ethics Course brochure v4.pdf    
Content Type: MyCFA Calendar
Created at 9/10/2019 16:01 by
Last modified at 9/16/2019 17:26 by