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Wealth Management and the Law (FNCE218)

Course description

This course will introduce students to the private wealth management industry in Singapore and to the legal and regulatory framework that governs the industry.  It will acquaint students with relevant provisions of the Securities and Futures Act, the Financial Advisors Act and applicable regulations, notices, guidelines and will include discussions on licensing and business conduct requirements. Applicable anti-money laundering regulations are also covered as part of the required due diligenc...


Seminar Required

Graded, 1.0 Credit Units

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