Introduction to MAS Regulations and Compliance for Fund Managers

Online Training Course

Fund management activities in Singapore are regulated by the Monetary Authority of Singapore (MAS) under the Securities and Futures Act. Entities engaged in these activities must either hold a Capital Market Services (CMS) Licence for fund management as a Licensed Fund Management Company (LFMC), Venture Capital Fund Manager (VCFM), be registered as Registered Fund Management Company (RFMC) or be expressly exempted from holding a CMS licence. The training provides an overview of the fund management regime in Singapore, the business conduct requirements that are applicable to the fund managers. Fund management professionals are equipped with the knowledge of various topics pertaining to ethics, rules and regulations, inline with the standards set out in the Securities and Futures Act (SFA) for the regulated activity of Fund Management.

A participation certificate of 1. 5 hours will be provided to all attendees who attend the training. The training is to be conducted via Webinar – the dial-in details and the link to the assessment will be sent nearer the training date.

MAS Regulation Training Course Outline

In general, the course will cover the following topics:

  • Introduction to Regulatory Framework
  • Licensing Requirements
  • Responsibilities of Senior Management
  • Financial Requirements
  • Business Conduct Requirements
  • AML/CFT, KYC and Enterprise-Wide Risk Assessment
  • Marketing of Funds
  • Corporate Governance and Ethics
  • Technology Risk Management and Cyber Security
  • Case Studies

Course Objectives

On completing this course, learners would be able to:

  • Understand summary of ethics, rules and regulations applicable to regulated fund managers
  • Obtain overview of regulatory framework and fund management licensing regime in Singapore
  • Understand business conduct and financial requirements ¬†applicable to fund managers and fund management professionals
  • Understand money laundering / terrorism financing risks faced by fund managers
  • Understand summary of customer due diligence obligations of fund managers
  • Identify key risks such technology and cyber security risks applicable to fund managers

Who should attend

All officers and employees of currently or intending to be licensed, regulated fund management companies in Singapore such as:

  • Board of directors and senior management
  • Compliance officers and managers
  • Personnel involved in customer onboarding, investor relations and customer facing including client services management teams
  • All other employees

Assessment and Certificate

A certificate of 1.5 hours of supplementary CPD hours be provided to those who complete the course and pass the assessment. The training and assessment to be conducted via Webinar. The dial-in details and the link to the Assessment will be sent before the course begins.

Course Format

The course is delivered by live webinar. The course runs for 90 minutes. The PowerPoint slides will be shared after the training session.

Register now for the Introduction to MAS Regulations Compliance for Fund Managers 

Wednesday, September 1, 2:30-4:00 SGT


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