Asia Pacific Mis-selling and Suitability Rules Training

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Additional languages available
Meets accessibility standards
Auto-save training, mobile-friendly
Deliver on Ethena or your LMS (SCORM)

Course Summary

Mis-selling happens when someone is sold a financial product that doesn’t fit their needs. This Ethena course shows advisers and sales teams across the Asia Pacific region how to give suitable advice and meet SFC, MAS, and ASIC rules.

What mis-selling and suitability mean
How SFC, MAS, and ASIC rules apply
Spotting and managing mis-selling risk
Selling and advising clients compliantly

Included Modules:

What Is Mis-Selling and Suitability?

Explains how mis-selling means recommending unsuitable financial products, and how suitability rules require advice to match each client’s needs and risk profile.

How Rules Apply to You

Shows how suitability duties under Hong Kong’s SFC, Singapore’s MAS, and Australia’s ASIC reach anyone advising on or selling investment products.

Identifying and Managing Risk

Helps you spot mis-selling red flags, like pressure selling or weak client fact-finding, and act before harm reaches the customer.

Selling Compliantly and Suitably

Covers gathering client information, matching products to needs, and documenting advice so every recommendation meets regulators’ suitability and disclosure rules.

How APAC Regulators Approach Mis-Selling and Suitability

Compares how the SFC, MAS, and ASIC supervise suitability, from Australia’s design and distribution obligations to enforcement against poor advice.

Why is this training important for workplaces?

Mis-selling and suitability rules across Asia Pacific exist to make sure customers only buy financial products that actually fit their needs, risk appetite, and understanding. When teams skip proper suitability checks or overstate a product’s benefits, they expose customers to losses they never signed up for and the business to regulator penalties, forced remediation, and lasting damage to its reputation. Getting it right means recommendations hold up to scrutiny, complaints drop, and clients keep trusting the people advising them. This training gives your teams the practical judgment to assess suitability and sell honestly across the region’s different markets and regulators.

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Jacob Leon Beier Chief Compliance Officer & Counsel, TriMark USA

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Darryl Cyphers, Jr. Senior Director of Legal Compliance, Klaviyo

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Giovanna Travieso Lead-People Experiences & Growth, Magic Leap