Regulatory Compliance

Accounting and Finance

PI ETA Consulting Company
* Understand the regulatory framework governing the financial services industry.
* Know essential regulations that have to be complied with.
Introduction to Basel II.
Seminar Facilitator(s):
Mr. Adam K. K. Wong
B. Acc, FCPA, Certified Professional Trainer
Dr. Jeffrey C. K. Lim
Ph. D., C. Sci., C. Math., FIMA, FRM, PRM, B. Fel
This is primarily ilt training
workshop / seminarThis is a workshop seminar
instructor led trainingThis class may be available at a classroom in Singapore, Singapore, or at one of these training facilities: Singapore, Singapore,
Course Level:introductory
Duration:1 days
Training Presented in:English
Training Provided by PI ETA Consulting Company

Regulatory Compliance Seminar Schedule

March, 2017
24th Mar   Concorde Hotel, Singapore (Orchard Road)   [Register]
Regulatory Compliance
Comment from past participant:
"An interesting and beneficial course. I enjoyed myself for this training session."
Ms. Liau May May, Bank of Tokyo-Mitsubishi UFJ, Singapore.
Class of April 2009
Seminar Background
This programme is designed to ensure that lenders are aware of the regulatory and compliance requirements of the financial services industry.
A key to sustainable growth in lending is regulatory compliance. Breeches of rules and regulations can lead to serious consequence which will hamper future growth. It is therefore important for lenders to be very familiar with the regulatory environment and the various compliance requirements.
Seminar Content
* Regulatory Framework
- Central Banking and Regulatory Framework
- Supervisory Framework
- Objective and Principles of Financial Supervision
- Regulations Applicable to the Financial Industry
# Acts
MAS Act, Banking Act, Subsidiary Legislation, Financial Advisors
Act, Company, Insurance Act, Security and Futures Act
# Subsidiary Legislation
# MAS Instruments
Directives / Notices
Practice notes
Policy statements
- Recent Enforcement Actions
* Changes in Trends that Impact Future Regulatory Framework
- Changes in Accounting Standards
- Financial Stability Forum
- Gaps in Global Regulatory System
* BIS Basel Committee Implementation
- Overview of Basel II
# The 3 Pillars
- Basel II Implementation in Singapore
Benefits of Attendance
Upon completion of this programme, participants will:
* Understand the regulatory framework for the financial services industry in Singapore
* Know the key regulations laid down by MAS
* Be aware of the penalties for non-compliance
* Have an overview of the Basel II requirements
Who should attend?
Credit and financial analysts, portfolio managers, credit officers, corporate bankers, commercial bankers, risk managers and analysts.
About The Training Provider: PI ETA Consulting Company
PI ETA Consulting Company - "Risk Management in any organization is everyone's business, not just the CEO, CFO and the CRO's " - Dr. Jeffrey C. K. Lim Ph. D., C. Sci., C. Math., FIMA, FRM, PRM, B. Fel. PI ETA Consulting Company is a Treasury and Risk Management Consulting Company * Back-to-basics Seminars * Consulting Services * In-house Software Systems
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