Objective: To introduce and explain ethical principles to finance professionals who provide or support trading and financial advisory services. 

Learning Outcomes:

Ethical Principles

  • Ethical Principles from the Society of Remisiers, and covering placing clients interest before own, professional integrity and objective judgment, acting with competence and diligence
  • Types of prohibited market conduct, market manipulation, use of material non-public information.
  • Standards of Professional Conduct  - duties to clients, duties to employer, conflicts of interest and responsibilities
  • Implications, and examples of local cases

Execution & Operations

  • Describe Best Execution principles and discuss how it can be achieved in the local Singapore context.
  • State the responsibilities of Representatives when executing the order in the client’s interests.

Conflicts of Interest

  • Circumstances of potential conflict
  • Circumstances of actual conflict, commission and additional compensation arrangements
  • Local cases, including discussion of particular cases of front running, insider trading, suitability of recommendations to clients
  • Discussion on resolving these conflicts via disclosure, escalation to designated personnel or other measures.



Instructor(s)

Ms. Gladys Ng

Gladys started her legal career in private practice and then at HDB and NOL. Her finance career as a venture capital fund manager was with Rothschild and UOB. Until recently, she was a senior professional at the largest research think-tank of Singapore Management University. 

She has taught as adjunct at NUS on business law and at UniSIM on financial statement analysis. She volunteers with the Singapore International Foundation’s mobile library project in Vietnam and was volunteer trainer on financial literacy for women. As a triple professional, she is subject to ethics for CA (Singapore), CFA charterholders and lawyers. 

Gladys holds ACTA and DACE and is a Specialist Adult Educator (Curriculum Development).

Course Curriculum

  • 1
    Ethical Principles
    • Introduction (1 min)
    • Content - Part I (14 min)
    • Content - Part II (10 min)
    • Case Study (25 min)
    • Summary Page (5 min)
    • Assessment (20 min)
  • 2
    Best Execution
    • Introduction (1 min)
    • Content (9 min)
    • Case Study (15 min)
    • Summary Page (5 min)
    • Assessment (20 min)
  • 3
    Conflicts of Interest
    • Introduction (1 min)
    • Content (9 min)
    • Case Study (20 min)
    • Summary Page (5 min)
    • Assessment (20 min)

Fee: Contact Us (No GST)

90 days' unrestricted use