AY2026 Semester 1 data is now available →
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.
| AUs | 4.0 AUs |
| Grade Type | |
| Prerequisite | AB1201, BU8201, BU5201 |
| Not Available To Programme | |
| Not Available To All Programme With | (Admyr 2021-onwards) |
| Not Available As BDE/UE To Programme | |
| Not Available As Core To Programme | |
| Not Available As PE To Programme | |
| Mutually Exclusive With | BF2222 |
| Not Offered As BDE | Yes |
| Not Offered As Unrestricted Elective | |
| Exam |
Introduction To Compliance
Unlocks
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| 1800 |
| Mon | Tue | Wed | Thu | Fri | Sat | |
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| 930 | 00199 SEM (1) 0930-1220 Fri ABS-SR12 | 00200 SEM (2) 0930-1220 Sat ABS-SR12 | ||||
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| 1130 | ||||||
| 1200 |
