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Financial Ethics, Compliance & Regulatory Framework



Learn the essential ethical principles and regulatory standards that govern financial professionals, preparing you to serve clients with complete integrity and compliance.

Admission Eligibility

  • Minimum academic qualification: 10th Pass

  • Minimum Age: 18+ Years

  • Recommended: Graduate degree for regulatory licensing or career growth

Course Duration

3 Months (Training + Practical Assignments + Case Studies)

You Will Learn:

  • Ethical Principles in Financial Advisory

    Apply core values such as honesty, transparency, and fiduciary responsibility in all client interactions.

  • Regulatory Bodies (IRDAI, SEBI, RBI) Codes & Guidelines

    Understand the codes of conduct, duties, and legal requirements for insurance, securities, and banking advisors.

  • Anti–Money Laundering (AML) & KYC Compliance

    Implement processes for client due diligence, reporting, and documentation as per statutory mandates.

  • Data Privacy, Conflict-of-Interest Management

    Safeguard sensitive information and make impartial recommendations for client welfare.

  • Ethical Selling & Compliance Documentation

    Deliver clear advice, avoid mis-selling, and maintain compliant practices in every transaction.

Course Fee: ₹9,999 Only


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