Ethics and the Financial Services Professional



  • Refresher



  • 5 SIDC CPE points
  • 4 FIMM CPD hours


ICF Competency Type / Title / Level

  • Core / Ethics and Integrity / Level 1


Learning Outcome

  • Recognise the principles of ethics and integrity
  • Determine situations leading to conflict of interest


Course Synopsis

In this competitive financial services field, professionals need to make a lot of tough and quick decisions. To instill a culture of professionalism in the industry, the Financial Services Professional Board has launched the code of ethics and guidance notes which need to be followed by everyone in the financial services industry.

Ethics course is very important to help the professionals better identify good ethical behavior. In this course, the users will be able to learn more about some case studies of past instances of ethical breaches and their repercussions and the real situations of ethical issues happening the workplace. Besides that, this course will help users to differentiate what is ethical and what is not.


Course Content

Total learning: 13 lessons / 5 quizzes Time: 60 minutes
  • Downloadable Notes  0/2

    • 1.1
    • 1.2
  • Why ethics and professional standards need to be high for the financial services industry  0/5

    • 2.1
    • 2.2
    • 2.3
    • 2.4
    • Quiz2.1
  • The Financial Services Professional Board and code of ethics for the financial services industry  0/3

    • 3.1
    • 3.2
    • Quiz3.1
  • Discussion on situations where ethics will come into play  0/5

    • 4.1
    • 4.2
    • 4.3
    • 4.4
    • Quiz4.1
  • Leading by example  0/2

    • 5.1
    • Quiz5.1
  • Summative Assessment  0/1

    • Quiz6.1


Saw Ann Ping

Saw Ann Ping has over 20 years’ experience in financial advisory, fund raising and consulting. Her areas of specialization are financial structuring, Islamic finance and privatisation. Her work has been recognised by various Malaysian and international bodies such as Euromoney and Islamic Finance News for its innovation. Her last position was head of wholesale banking for Hong Leong Islamic Bank. Prior to that, she was the head of corporate finance in RHB ISLAMIC Bank and head of corporate banking and debt securities in Utama Merchant Bank. Before becoming an investment banker, she was a management consultant with Arthur Andersen, involved in various advisory projects for the Asian Development Bank, KL International Airport and other Government agencies and the private sector. She was a speaker at China Development Bank’s Senior Policy Seminar in Beijing and at the Middle East Business Forum in Dubai on Islamic finance for infrastructure projects. She holds a Bachelor of Science (honours) degree from the University of Canterbury, New Zealand, majoring in Economics and Operations Research. She is the co-author of “The Islamic Finance and Sukuk Handbook – Where Shariah Meets Commercial Demands”.


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  • 5 SIDC CPE points
  • 4 FIMM CPD points