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Compliance Matters - Ensuring Investor Protection and Integrity of the Capital Market

Compliance Matters - Ensuring Investor Protection and integrity of the capital market

Dates:  5 & 6 March 2018
Venue: Securities Commission Malaysia
Accreditation: -


The recent post–financial crisis landscape of the capital market places regulatory compliance under greater scrutiny than ever before. Absence of an effective compliance risk management framework exposes a financial institution’s customers, shareholders, employees and the financial institution itself to serious risks. This programme is designed to address the fundamentals of compliance and emphasises the need and urgency of strengthening the compliance culture through improvement of mindset, character and infrastructure.



 

  • Programme Delivery

    Programme Objective

    This is an introductory programme for new compliance officers, focusing on those who want to be more effective in discharging their responsibilities and who are willing to invest to equip themselves with the skills of regulatory compliance and risk. In addition, the programme attempts to raise awareness about the value-add elements of the compliance function. 

    Learning Outcomes

    By the end of this programme, participants will be able to:
    • describe the fundamentals of compliance
    • explain the principles of compliance
    • elaborate on the role, function, responsibilities and duties of Compliance Officers
    • describe the compliance programme
    • describe the interaction of roles and responsibilities which create a compliance culture
    • explain the costs and benefits of compliance
    • describe the concept of risk management
    • relate knowledge about risk to workplace activities in terms of assessment and management
    • explain the structural framework of capital market regulation and compliance
    • describe the various exchange guidelines for compliance and best business practice
  • Programme Outline

     
    Day 1
      8.30 am Registration
      9.00 am FUNDAMENTALS OF COMPLIANCE
    • The Concept of Compliance
    • Compliance and Control Functions
    • The Compliance Culture
    • Importance of Compliance
     10.45 am Refreshments
     11.00 am ROLES AND RESPONSIBILITIES
    • Directors
    • Management
    • Internal Audit Department and Audit Committee
    • Risk Management and Risk Management Committee
    COMPLIANCE OFFICERS
    • Compliance Officer
    • Role of the Compliance Officer in Relation to the Rules and Regulations of the Regulators
    • Role of the Compliance Officer in Relation to Money Laundering and Terrorism Financing
    • Complaints from Clients
    • Compliance Independence
    • The Compliance Officer’s Relationship with the Firm and Regulators
    • Compliance Reporting
     1.00 pm Lunch
     2.00 pm ESTABLISHING AND MONITORING COMPLIANCE
    • Developing a Comprehensive Compliance Programme
    • Effective Compliance Infrastructure
    • Dealing with Conflicts of Interests
     3.45 pm Refreshments
     4.00 pm ESTABLISHING AND MONITORING COMPLIANCE (cont)
    • Reporting Line and Audit Trail
    • Review of Compliance Programme
      5.00 pm Debrief of Session and Key Take Away
      5.30 pm END OF DAY 1










































     
    Day 2
      8.30 am Registration
      9.00 am RISK MANAGEMENT
    • Introduction to Risk Management
    • Risk Management in a Fiduciary Relationship
    • Risk Management Infrastructure
    • Tools for Risk Management
    • Ethics of Risk Management
     10.45 am Refreshments
     11.00 am COSTS AND BENEFITS OF COMPLIANCE AND CASE STUDIES
    • The Costs of Compliance
    • The Benefits of Compliance
    STRUCTURAL FRAMEWORK AND PRINCIPLES OF CAPITAL MARKET REGULATION
    • Framework
    • Principles of Regulations
    • Single Licensing Framework for the Capital Markets
     1.00 pm Lunch
     2.00 pm GUIDELINES FOR COMPLIANCE
    • Guidelines for Compliance Officers  
    • Guidelines for Futures Brokers
    • Guidelines on Compliance Function for Fund Management Companies
    • Guidelines on Unit Trust Funds
     3.45 pm Refreshments
     4.00 pm GUIDELINES FOR COMPLIANCE
    • Best Business Practices –
    • Guidelines on Market Conduct and Business Practices for Stockbrokers and Licensed Representatives
    • Guidelines on Prevention of Money Laundering and Terrorism Financing for Capital Market Intermediaries
    •  Rules of Bursa Malaysia Securities Berhad (Chapter 5)
    • Bursa Malaysia Securities Berhad Participating Organisations’ Directives and Guidance Rules of Bursa Malaysia Derivatives Berhad (Rule 600)
     5.00 pm Debrief of Session and Key Take Away
     5 .30 pm END OF PROGRAMME
  • programme Fees

    Group of 3 or more pax Normal Price
    RM 1144.80 RM 1272
    *Inclusive of 6% GST
  • Speakers Profile

    Speakers Profile - Download