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Question 1 You are the compliance officer for a financial institution situated and regulated in Singapore, whose parent company is based in New York. The rate of growth of the firm you work for has been falling in recent years. The head office has therefore sent one of the senior sales directors to your office, with a mandate to increase sales. Th
Question 1. You are the compliance officer for a Financial Institution situated and regulated in Singapore. Your parent company is situated in London, England. Your office has been suffering a slow decline in sales in recent years. To combat this, the senior management has sent out a new Sales Director from the UK. The Sales Director has decided th
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Core Module 1 – Regulatory Compliance Question 1. Identify any specific MAS regulation (e.g. the requirement to report suspicion rather than the whole of MAS 626) for a firm in a regulated financial services sector with which you are familiar, e.g. banking, capital markets, insurance. Discuss the regulation’s objective and identify the busines
Specimen EXAMINATION – Banking/Capital Markets/Insurance Question 1 At the end of a training seminar on risks and risk management principles and framework, it had been suggested that the trainees be requested to analyze a case study to ascertain how well they can identify and analyze risks to which a firm may be vulnerable and develop strategie
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Question 1: Your firm is currently in discussion with a large overseas organization with a view to a merger. The other firm mainly operates in jurisdictions that are not as well regulated as Singapore. Their CEO is due to visit your firm next week. Ahead of the meeting, you have been asked to help your CEO by preparing a note to brief him on the f
