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)

CASE STUDY 1: Conflict of Interest
A relationship manager recommends a financial product to a client without disclosing that they receive higher commissions for selling that product. The product is suitable, but not the best available option.

Reflection Questions:
• Is this behaviour ethical even if the product meets regulatory requirements?
• What disclosures should have been made?
• How could this situation damage trust?

CASE STUDY 2: Pressure to Meet Targets
A trader is pressured by management to delay reporting a valuation error until after month-end to avoid negative performance reporting.

Reflection Questions:
• What ethical principles are being compromised?
• What risks arise from delaying disclosure?
• How should the employee respond?

CASE STUDY 3: Weak Ethical Culture
An organisation complies with regulations but discourages employees from raising concerns by labelling whistleblowers as “not team players”.

Reflection Questions:
• How does culture affect ethical behaviour?
• Why are speak-up mechanisms critical?
• What is the long-term risk to the organisation?

Participants should reflect on how ethical culture influences decisions and how they can uphold integrity in real-world professional situations.

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