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Core Module 4 – Leveraging Data for Business Advantage Question 1. a) You have noticed that over the past three years the number of complaints recorded in your Singapore office has increased, year on year. You think that this may simply be because the volume of business has increased but you are concerned that the Singapore office may be receivi
Core Module 3 – Developing a Compliance Culture Question 1. a) You have recently been involved in reviewing a sample of the business submitted to the firm, as part of a thematic review. One case that you review involves a product sold to Mr Lee. You believe that the product sold to Mr Lee is not the best product from the range available. Although
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Core Module 2 – Identifying and Reporting Compliance Risk Question 1. Your head of compliance has asked you to review the way in which the firm deals with breaches, including breaches of internal policies and procedures in addition to regulatory breaches. The current requirement is for all departments to keep their own ‘breaches register’, d
Core Module 1 – Regulatory Compliance Question 1. The MAS Guidelines to Notice 626 on Prevention of Money Laundering and Countering the Financing of Terrorism (the ‘Notice’) outlines controls that must be implemented to mitigate the risks associated with money laundering/terrorism financing. Question 2. Identify one specific MAS regulatory re
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Core Module 1 – Regulatory Compliance Question 1. The MAS Guidelines to Notice 626 on Prevention of Money Laundering and Countering the Financing of Terrorism (the ‘Notice’) outlines controls that must be implemented to mitigate the risks associated with money laundering/terrorism financing. Question 2. Identify one specific MAS regulatory re
Question a) You have noticed that over the past three years, the number of complaints recorded in your Singapore office has increased, year on year. You think that this may simply be because the volume of business has increased, but you are concerned that the Singapore office may be receiving a higher-than-average number of complaints. You, there
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Question 1. The MAS Guidelines to Notice 626 on Prevention of Money Laundering and Countering the Financing of Terrorism outline controls that must be implemented to mitigate the risks associated with money laundering/terrorism financing. Question 2. Identify a specific MAS regulatory requirement, other than that in Q1, for a firm in a regulated
Question 1. Identify a specific MAS regulatory requirement, for a firm in a regulated financial services sector with which you are familiar. State the type of firm you are referring to and then produce a note for the head of compliance which: highlights the objective identifies the business unit/activity it primarily affects comments on th
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Core Module 1 – Regulatory Compliance Question 1. The MAS Guidelines to Notice 626 on Prevention of Money Laundering and Countering the Financing of Terrorism (the ‘Notice’) outlines controls that must be implemented to mitigate the risks associated with money laundering/ terrorism financing. Draft a paragraph explaining the following term
Question 1. You and the other staff in the compliance team are about to undergo your annual appraisal with the head of compliance. Ahead of the meeting, the head of compliance has asked all her team to identify any specific MAS regulation relevant to your firm, which is a firm in a regulated financial services sector in Singapore. You are to prepar
