This course aims to provide you with a broad understanding of the role of compliance in financial institutions and introduce you to the common issues in the space of regulatory and financial compliance. Course topics include understanding the financial services sector, the role of compliance within financial institutions, the financial regulatory environment and requirements, compliance risks, anti-money laundering risks, and the importance of well-designed and effective control mechanisms. The course will also explore the impact of financial technology (FINTech) and regulatory technology (REGTech) advancements on the compliance landscape. This course is accredited by the Institute of Banking and Finance (IBF) and students who obtain an overall score of B and above will be accredited for IBF's Level 1 Compliance Standards.
Prerequisite graph
Introduction To Compliance
Unlocks
Available indexes
| Mon | Tue | Wed | Thu | Fri | Sat | |
|---|---|---|---|---|---|---|
| 930 | 00199 SEM (1) 0930-1220 Fri ABS-SR12, ONLINE Wk1-9,11-13, Teaching Wk10 | 00200 SEM (2) 0930-1220 Sat ABS-SR12, ONLINE Wk1-9,11-13, Teaching Wk10 | ||||
| 1000 | ||||||
| 1030 | ||||||
| 1100 | ||||||
| 1130 | ||||||
| 1200 |
Other offerings
Other relevant mods
Planning guides
View all articlesModule Planning · 5 min read
NTU Business Modules: Courses Offered by Nanyang Business School (AY2026/2027 Semester 2)
A complete list of NTU business modules offered by Nanyang Business School (NBS) for AY2026/2027 Semester 2. Covers accountancy & business (AB), banking & finance (BF), and how to browse all business modules on NTUMods.
BDE · 17 min read
Complete NTU BDE List: Every BDE Category and Module (AY2026/2027 Semester 2)
A complete NTU BDE list by category: languages, business, computing, humanities, arts, science, engineering, and more. Updated for AY2026/2027 Semester 2. Browse all 780+ BDE modules on NTUMods.
STARS · 9 min read
How to Bid for a BDE at NTU (STARS Registration Guide)
Step-by-step: how NTU STARS bidding works, what to do in Round 1 vs Round 2, and how to still get your BDE during add/drop if your first choice fills up.