Compliance Matters II: Ensuring Investor Protection and Integrity of the Capital Market
Dates: 19 July 2017
Venue: Securities Commission Malaysia
Accreditation: SIDC CPE-approved: 10 CPE points
This programme is a continuation of the Compliance Matters series and is designed to assist compliance officers in carrying out their duties and responsibilities through workshops by using case studies of real-world examples and hypothetical situations that highlight compliance issues that compliance officers should learn to recognize and deal with appropriately.
Who Should Attend
- Compliance Officers/Managers and their Deputies – IBs, Stockbroking, Fund Management, Derivatives
- Staff involved in risk functions and internal compliance controls
- Internal Auditors
- Those interested in learning more about compliance
-
Programme Delivery
Programme Objective
The aim of this programme is to give an in-depth understanding on compliance from a practical perspective through high-level discussions and exposure of real-world case studies in which compliance officers face in executing their duties and responsibilities.
Learning Outcomes
By the end of this programme, participants will be able to:
- Illustrate the duties and responsibilities of a compliance officer from the perspective of both regulators in key major aspects of compliance;
- Demonstrate an understanding of the key compliance areas, issues and challenges as well as the implications and how to deal with them appropriately; and
- Recognise the best practices in the compliance function that lead to an effective compliance function, hence strengthening the organisational trust and market reputation.
Methodology
This programme is a workshop style training course using effective learning methods which include presentations, discussions, case studies, examples and participant interaction to help attendees quickly grasp and internalise new knowledge with well experienced trainers in their field.
-
Programme Outline
DAY ONE
| 0830am |
Registration |
| 0900am |
DUTIES AND RESPONSIBILITIES OF A COMPLIANCE OFFICER
This session examines the duties and responsibilities of a compliance officer from the perspectives of both regulations and practice in the following major aspects:
- Anti-Money Laundering and Counter Terrorism Financing
- Safeguarding Investors' Interests
- Mitigating Reputational Risk
- Monitoring and Surveillance Others
- Compliance vs Ethics
|
| 1045am |
Refreshments |
| 1100am |
CASE STUDY DISCUSSION: KEY COMPLIANCE AREAS, ISSUES AND CHALLENGES
An interactive discussion session based on both local and international case studies facilitated by the trainers. The aim is to fully understand the key compliance areas, issues, and challenges via thorough discsussion of the cases and the exchange of views and experiences.
- Key areas - AML/CFT, Corporate Governance, Internal Process and Controls/SOP and Common Non-compliance and /or Breaches of extant guidelines, rules and regulations
- Red Flags and Indicators
- Identification, Escalation and Resolution Non-Compliance Matters
- Addressing the Complaince Failure
|
| 0100pm |
Lunch |
| 0200pm |
CASE STUDY DISCUSSION: KEY COMPLIANCE AREAS, ISSUES AND CHALLENGES (cont.) |
| 0345pm |
Refreshments |
| 0400pm |
BEST PRACTICES: WHAT CAN BE LEARNED AND CHALLENGES
This final session focuses on the best practices of a compliance function, the challenges faced by compliance officers, especially in gaining high level support and commitment from the BOD , as well as the importance of compliance to a company's reputation. These best practices would lead to an effective compliance function, hence strengthening the organisational trust and market reputation. |
| 0500pm |
Debrief of Session and Key Take-Aways |
| 0530pm |
End of Programme |
-
Programme Fees
RM 950 + 6%GST = RM 1007