Laws & Regulations

Familiarisation Programme for Registered Representatives I

Duration: 2 days
Venue: Securities Commission Malaysia
This two-day programme provides a comprehensive understanding of the rules and regulations governing the Malaysian securities and derivatives markets necessary for Trading Representatives (TRs) working with Participating Organisations (POs) to carry out their duties effectively and in compliance with the law.
Participants will be introduced to an overview of the securities and derivatives markets, Islamic capital market and capital market regulations. The programme will cover Know-Your-Client (KYC) procedures, trading on Bursa Malaysia Securities Berhad (Bursa) and securities offences. The programme includes assessments to gauge participants’ understanding of the materials presented.

Who Should Attend

Please refer to Chapter 11 of the Licensing Handbook for entry requirements

  • Programme Delivery

    Learning Outcomes

    By the end of the programme, participants will be able to: 
    • explain the function of securities, derivatives and Islamic capital markets
    • describe the regulatory framework of the securities market
    • enumerate the various regulatory bodies  involved in regulating the securities market and their functions and roles
    • describe the general process of money laundering 
    • describe the obligations on protection of clients' information and common abuses of clients' information
    • undertake the Know-Your-Client (KYC) assessment at the point of opening of accounts
    • describe the legal relationships between Participating Organisations and their clients
    • explain the essential trading rules and procedures on Bursa 
    • describe the various investment products listed on Bursa (IRs)
    • describe the features and prohibitions on a range of offences which may arise from trading in the stock market


    Presentations,  discussions,  assessment (60 multiple choice questions) 


  • Programme Fees

    RM950 per participant + 6% GST = RM1,007