CIMA 128.A - SOG on Governance, Market Conduct, and Ethical Practices for Cayman Islands Regulated Securities Investment Businesses

This course is designed for directors and staff working in the securities investment sector and equips you with the necessary knowledge of corporate governance, internal controls, market conduct, and client-related practices required under CIMA’s rules, statement of guidance and measures related to to securities investment businesses licensed or registered by CIMA. By the end of this course, you will be equipped with knowledge to maximise your securities investment business adherence to high standards of market conduct, ethics, transparency, and compliance.