Lessons We Can Learn from Compliance Cases
Dates: 22 November 2018 (8.30am - 5.00pm)
Venue: Securities Commission Malaysia
Accreditation: SIDC CPE-approved: TBC
Compliance has become a widely discussed topic in recent times, often headlined by regulatory fines slapped on financial institutions for compliance failures. The 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 a continuation of the Compliance Matters series and is designed to assist compliance officers in carrying out their duties and responsibilities through a workshop by using case studies of real-world examples and hypothetical situations that highlight compliance issues that compliance officers should learn to recognise and deal with appropriately.