Filling the SFC's Business and Risk Management Questionnaire (BRMQ) Step-by-Step Workshop

This 1 hour presentation is about filling the SFC's Business and Risk Management Questionnaire (BRMQ) in a form of a Step-by-Step Workshop covering topics below:

Introduction: 

• Purpose of BRMQ
• Structure of BRMQ
• Submission Deadline
• Points to note in submission
• Common issues and mistakes in completing BRMQ and; 
• the potential implications and other important reminders

BRMQ Section A :

• A1 - Business Overview
• A2 - Management and Supervision
• A4 - Outsourcing 
• A5 - Compliance
• A7 - Finance and Accounting 
• A8 - Client Assets
• A9 - Risk Management
• A10 - Information Technology 
• A12 - Anti-Money Laundering and Counter-Financing of Terrorism

BRMQ Section B :

• B10 - Investment Research related
• B13 - Discretionary Management Services for Funds and/or Discretionary Accounts
• B15 - Best Execution

To complete the training, you are required to answer 10 questions in the Assessment Test at the end of the training and have 6 questions answered correctly.  Prior to taking the Assessment Test, you must watch the entire training video. Failure to do so may lead to cancellation of your Certificate of Completion.

**Please note that you are required to create an account with Thinkific, our Learning Management platform. Your Certificate of Completion will be issued using the name used to create the account. Therefore, please ensure that your official name is used when creating the account on Thinkific.**

For any queries, please email us at [email protected]. Thank you.