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Home > SGX Academy > Module 7 - Client Acquisition, Acceptance and On-boarding

Module 7 - Client Acquisition, Acceptance and On-boarding

Course Date: 20, 23, 27, 30 March 2017

Assessment Date: 12 April 2017 Wednesday (6.30pm to 7.30pm)

Click HERE to download the programme brochure

Module 7

Client Acquisition, Acceptance and On-boarding#


This module focuses on sales skills development to help participants grow their business. Participants will learn about industry best-practices in acquiring new clients and how to perform client acceptance and on-boarding procedures, including establishing the client’s investment profile. It also includes a section on procedures to evaluate client’s situation for the prevention of financial crimes.

# Partial waiver applied for those who have completed Trading Representatives Sales Training 1, please contact us for more information.


Course Outline

All About Clients

  • Classifying clients
  • Building confidence
  • Establish rapport
  • Overcome fear of asking
  • Bad sales habits you need to drop
  • Role Play – Prospecting for Clients


Alternative Prospecting Channels – Social Media

  • Understanding the Landscape
  • Regulations
  • Group Discussion


Alternative Prospecting Channels – Networking

  • Business Networking 101
  • Make a Networking Plan
  • Group Activity or Role Play – Dynamic Networking


Client Acquisition and Acceptance

  • The 3 Basic Principles of Selling
  • Who is the Client
  • Your responsibilities as sales
  • Prospecting 101
  • No more cold calls
  • Positive telephone skills
  • Group activity


Establish Client’s Investment Profile

  • Defining Investment Objective & Risk Tolerance
  • Investment Styles: a. Growth Investing b. Value Investing c. Momentum Investing d. Small-cap Investing e. Top-down approach f. Bottom-up approach g. Quantitative analysis
  • Specified Investment Products Trading Account
  • Customer Account Review & Customer Knowledge Assessment
  • Requirements for Customers not possessing Knowledge or Experience in Derivatives
  • Documentation and Record Keeping
  • Requirements on Dealing in Overseas-Listed Investment Products


Client On-boarding Procedures & Customer Due Diligence for Prevention of Money Laundering / Counter Financing of Terrorism

  • Client on-boarding Process
  • Workflow of Know Your Client process


Trainers' Profiles

Ms. Lena Yong first started her career as a corporate journalist for Business Times Malaysia in 1982. In 1998, she joined the stockbroking industry with Baring Securities Malaysia as a research analyst. She later moved to SG Warburg Securities Malaysia in 1992 and was eventually appointed as Associate Director of Research with UBS. In her previous role with RHB Investment Bank, she oversees business functions of the institutional equities division. This includes driving institutional equities businesses across the Group including Malaysia, Singapore, Hong Kong, Thailand and Indonesia. Before joining the RHB Banking Group, she was attached to UOB Kay Hian, Singapore as the Head of Institutional Sales (Asia). Prior to that appointment, she headed the sales teams in regional and international equity houses such as CLSA Asia-Pacific Markets and the Australian-based investment bank, Macquarie Group. Highly experienced in the ASEAN institutional equities market, Lena Yong brings with her more than 25 years of sales experience in the financial services industry. She holds a professional degree in Company Secretary-ship from the Institute of Chartered Secretaries and Administrators, London.

Mr. Chong Lock Kuah, CFA, is a trading representative/registered representative at UOB Kay Hian. Mr. Chong teaches part-time at the local Universities, he is currently an associate lecturer at SIM University for a part-time BSc (Finance) programme. He also teaches part-time at NUS Business School. Mr. Chong has been teaching CFA Examination Review courses for Level 2 2 in Singapore and Malaysia since 2004. He has more than 10 years experience in teaching finance and investment related courses. He started teaching, on a regular basis, in-house and public-run preparatory courses for CMFAS Exam since 2003. Currently, he is one of the instructor for CMFAS Module 6A course.

IBF-STS Funding

Accredited modules under the IBF Standards are eligible for funding under the IBF Standards Training Scheme (IBF-STS). IBF-STS provides 70% funding for direct training costs subject to a cap of S$7,000 per participant per programme and subject to all eligibility criteria being met. In addition, for Singapore Citizens aged 40 years old and above, IBF-STS provides 90% co-funding of direct training costs, subject to a cap of S$7,000 per participant per programme. This will be processed after completion of required training and assessment. For more information on funding requirements, please visit: www.ibf.org.sg

Skillsfuture Credit

This course is eligible for SkillsFuture Credit, please click here for more information. Please refer to www.skillsfuture.sg/credit for more information on the terms and conditions.

Contact Details

For further enquiries, please email register@sgxacademy.com or call 6327-5438

(Operating Hours: 9.00am to 5.00pm)


Registration may be done on-line via the SGX Academy website. SGX Academy reserves the right to request for additional information during and after the registration process. Alternatively, a copy of the registration can be downloaded here and the completed registration form emailed to register@sgxacademy.com or faxed 6227-8063. Registration will be given due consideration and a confirmation email will be sent within 5 business days upon receipt of the completed form.

Minimum Class Size

The minimum class size for the programme is 20 confirmed registration and SGX Academy may, as its discretion, start a class without the minimum required number.

Cancellation and Transfer Policy:

Cancellation for a registration must be made in writing at least 10 business days before the event and a refund (less a 10% administrative fee of total course fee) will be made. No refunds will be given for cancellations received less than 10 business days prior to the event. All requests for replacement must be made in writing at least 3 business days prior to the event.

SGX reserves the right to make changes to the date, time and/or other information regarding the course if warranted by circumstanced beyond its control.

Category Courses
Date Mon, 20 Mar 2017
Time 06:30PM - 09:30PM
Capacity Closed
Fee S$498 (inclusive of GST)
Online Registration Closed*
Call 6327 5438 to check for availability.
Academy 2
2 Shenton Way
SGX Centre 1
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