CWM Accreditation under SEBI Investment Adviser Regulations 2013
Professional Services SL TAN & CO Provides
1. 1
Professional Services SL TAN & CO Provides
SL TAN & CO
Advocates & Solicitors
(Boutique Company Law Firm,
Singapore 2015 & 2016)
Derivatives
Negotiate ISDA
Master Agreement and
Collateral Agreements
COMPLIANCE
Anti-money
Laundering
(AML)
Training
(subsidised)
Drafting AML
Manual & Policies
General advice
on AML matters
Legal opinion
Personal Data
Protection Act
(PDPA)
Training
Drafting PDPA
Manual
Advice on all
PDPA matters
Legal opinion
Banking Act
Training
Legal opinion
on Banking
Act matters
Drafting/
reviewing
banking
documents
Financial
Advisers Act
(FAA)
Training
(subsidised)
Applying for
FA licence
Legal advice/
opinion on
FAA matters
Securities &
Futures Act
(SFA)
Training
(subsidised)
Applying for
CMS licence
Legal advice/
opinion on
SFA matters
Applying for
licences
- remittance
agencies
- money changers
Training
Drafting AML
Manual & Policies
Others
Services provided
2. 2
Our Subsidised Professional Training Programmes
Introduction
We are a unique boutique law firm specialising in providing
professional training in the areas of our specialisation (see chart).
We have trained many banks in Singapore (and Malaysia) in the
areas we specialise (particularly AML/CFT).
Our trainer, Mr Tan Sin Liang, is uniquely qualified as a professional-
lawyer trainer with more than 40 years as a lawyer and more than 20
years as a professional trainer.
Well known as a trainer in the banking industry, Mr. Tan was a
pioneer in the areas of AML, FAA and SFA. His banking background
gives him a distinct advantage in training banks and financial
institutions.
Mr. Tan is an IBF accredited trainer. Many of his training programmes
are IBF-accredited. Hence, you can claim subsidy for our training
programmes.
We also provide CPD (Continuing Professional Development)
courses required under the FAA. All our CPD courses are IBF-
accredited. Hence, if you’re a Representative (Relationship
Manager), you get sign up for any of CPD courses to fulfil your yearly
CPD requirements.
For further details on the IBF-approved training programmes, please
refer to Table A and Table C.
We also provide training on the Personal Data Protection Act
(“PDPA”) and the Banking Act.
3. 3
(i) Subsidised 2 Days Public Training Programmes
Table A: 2 Days Public Training Programmes (Subsidised)
1. Understanding & Complying With SFA
2. Understanding & Complying With FAA
3. AML/CFT, Laws In Singapore And Understanding & Complying With MAS
Notice 626
These courses are organised by external training organisers.
These have been our “best sellers” courses for the past 15-20 years.
These are comprehensive courses and are ideal for someone joining
the banking industry or a banker from overseas joining the Singapore
banking industry. Or you need to have a comprehensive up to date
perspective of these ever-changing legislations like the SFA and FAA
(together with MAS notices and guidelines).
(ii) Proposed 1 Day Subsidised Public Programmes
Table B: New 1 Day Programmes Pending IBF Approval
1. Overview of SFA And Latest Updates
2. Overview of FAA And Latest Updates
3. Latest Updates On SFA And FAA
These courses will be subsidised once they are approved by IBF.
These 1 day courses are ideal for participants who have limited time
and budget.
(iii) Subsidised CPD Courses
Table C: 4hrs CPD Courses Accredited By IBF (Subsidised)
1. Understanding & Complying With MAS Notice 626
2. Understanding AML/CFT Laws In Singapore
4. 4
3. Understanding & Complying With Conduct Of Business Rules Under FAA
4. Understanding & Complying With BSC Framework For Representatives
& Supervisors
These CPD are compulsory for all Representatives carrying out
regulated activities under FAA.
A ½ hour written examination will be conducted at the end of the
course.
These CPD courses are also subsidised by IBF.
(iv) Subsidised On-site Training Programmes (4hrs)
Table D: On-site Training (4 hrs)
1. Understanding & Complying With MAS Notice 626
2. Understanding & Complying With AML And CFT Laws In Singapore
3. Combination of (1) and (2)
4. Understanding & Complying With Conduct Of Business Rules Under FAA
(CPD Course)
5. Understanding & Complying With BSC Framework For Representatives
& Supervisors Under FAA (CPD Course)
These are on-site training programmes held at the bank’s own
premises.
Ideal for training a large segment of the bank without logistics
problems.
These on-site training programmes are also subsidised by IBF.
5. 5
Legal Advices & Other Services
Besides providing training, we provide legal advice in the following
areas: -
1) Anti-money Laundering
We provide a full range of legal advice on all matters relating to
combating money laundering and terrorist financing.
2) Banking Act
We provide legal opinions on certain matters relating to the
Banking Act (eg. banking secrecy).
We assist banks in reviewing and amending their terms and
conditions for certain banking products.
We assist clients in negotiating their banking and other commercial
contracts.
3) Financial Advisers Act (“FAA”)
We act for clients in applying for FA licence.
We provide legal opinions on all matters relating to the FAA.
We advise clients whether their intended business activities require
FA licence.
4) Securities And Futures Act (“SFA”)
We act for clients in applying for Capital Market Services (“CMS”)
licence.
We advise clients whether their intended business activities require
a CMS licence.
We provide legal opinions on matters relating to the SFA.
5) Personal Data Protection Act (“PDPA”)
We provide legal advice on all matters relating to the PDPA.
We can assist you in drafting your PDPA Manual and Privacy
Statements.
We can assist you in setting up a PDPA compliant system.
6. 6
We provide training to ensure your company is PDPA compliant.
6) Derivatives Agreements
We assist clients in negotiating ISDA Master Agreements and
ISDA Collateral Agreements.
We also provide training on “Understanding And Negotiating ISDA
Master Agreements”.
7) Commercial Agreements
We can assist you in reviewing and negotiating for you general
commercial contracts.