Our customised classroom based compliance training is intended for Responsible Officers, CEOs, C-Suite employees and senior management, and makes extensive use of real examples to illustrate the key points for retention by participants. A copy of the materials is made available to all participants.


We cover topics such as:

  • The Role of MAS / SFC
  • Duties and Responsibilities of Senior Management
  • Personal Trading
  • Gifts and Entertainment
  • Cross Border Operations
  • Sales and Marketing
  • Personal Trading
  • Private Placement
  • What is on the Regulatory Radar?
  • Market Misconduct and Insider Dealing
  • Internal Controls
  • Professional Investors
  • Recent Enforcement Actions
  • Selling Rules
  • Expert Networks
  • Global Regulatory Developments
  • Conflicts and Disclosures

Our courses focus on Asian based content and can be delivered in English, Cantonese, Mandarin, Korean and Japanese.

For our online compliance training services, please click here >>