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 introduces the core ethical principles and professional conduct expected of participants in financial markets.

Participants will learn how ethical behaviour supports market integrity, investor confidence, and long-term sustainability of the financial system.

Key focus areas include:
• Integrity and honesty in professional dealings
• Fair treatment of clients and counterparties
• Accountability and responsibility in decision-making
• Avoidance of conflicts of interest
• Upholding trust and confidence in financial markets

Ethical conduct goes beyond compliance with written laws. It reflects professional judgement, values, and behaviour expected of market practitioners, even in situations where regulations may be unclear or silent.

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