Course Content
Pre-Training Assessment – Ethics, Governance & Compliance
This pre-training assessment is designed to assess participants’ baseline knowledge and understanding of ethics, governance, and compliance prior to the training. Results are used for benchmarking purposes only and do not affect course completion.
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Pre-Training Knowledge Assessment
Module 1: Ethics & Professional Conduct in Financial Markets
This module introduces ethical principles, professional standards, and conduct expectations applicable to financial market participants, focusing on integrity, fairness, and accountability.
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Ethical Principles & Professional Conduct in Financial Markets
Module 1 Quiz – Ethics & Professional Conduct
Module 2: Governance Frameworks & Ethical Culture
This module explores governance frameworks, ethical culture, internal controls, and leadership responsibilities in promoting ethical behaviour within financial institutions.
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Governance Frameworks & Ethical Culture in Organizations
Module 2 Quiz – Governance Frameworks & Ethical Culture
Module 3: Compliance Responsibilities & Regulatory Obligations
This module focuses on compliance responsibilities, regulatory requirements, and ethical obligations to ensure adherence to laws, guidelines, and industry best practices.
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Compliance Duties & Regulatory Expectations
Module 3 Quiz – Compliance Responsibilities & Regulatory Obligations
Module 4: Ethical Culture, Case Studies & Professional Reflection
This module reinforces ethical awareness through practical case studies, ethical dilemmas, and professional reflection to strengthen ethical judgment and decision-making in financial markets.
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Ethical Culture, Case Studies & Professional Reflection
Ethical Case Studies & Professional Reflection
Why no quiz for Module 4?
Final Assessment – Ethics, Governance & Compliance
This post-training assessment evaluates participants’ understanding and application of ethical principles, governance frameworks, and compliance responsibilities across all modules.
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Final Assessment – Ethics, Governance & Compliance
Post-Training Evaluation & Feedback (HRD Corp & SIDC CPE)
This post-training evaluation is conducted to collect participant feedback and assess learning outcomes in accordance with HRD Corp and SIDC CPE requirements. Responses are confidential and used for quality improvement purposes.
Financial Markets Ethics, Governance & Compliance (Dummy Course)

This lesson explains the role of compliance and regulatory obligations in maintaining integrity, stability, and trust within financial markets.

Compliance refers to adherence to laws, regulations, guidelines, and internal policies applicable to an organisation and its employees. Regulatory obligations are imposed by authorities to protect investors, ensure fair markets, and reduce systemic risk.

Key areas covered include:
• The purpose of compliance in financial markets
• Roles of regulators and regulated entities
• Responsibilities of employees, management, and compliance officers
• Consequences of non-compliance and regulatory breaches
• The relationship between ethics, compliance, and governance

Effective compliance frameworks help organisations identify risks early, prevent misconduct, and demonstrate accountability to regulators and stakeholders.

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