Module 19: Advisory Services (Rules & Regulations)
Securities Commission Malaysia
|9, 10 & 16 March 2019
||27, 28 July & 3 August 2019
This course equips participants with comprehensive understanding and knowledge based on the Module 19 Study Outline. Participants will advance their knowledge and comprehension further via an interactive teaching and learning experience while increasing their confidence in sitting for the examination. This course will be facilitated by an experienced and qualified trainer.
This 3-day course is designed to match the licensing study outline for Module 19 on advisory services (rules and regulations). It covers the principles of contract of law and relevant issues, related guidelines pertaining to equities, private debt securities and structured products.
Who Should Attend
- Candidates preparing for the Module 19 licensing examination
- New entrants to the capital market industry and staff of investment banks
Candidates are expected to have good knowledge, understanding and ability to apply in the following areas:
- The principles of contract law and relevant issues
- The laws which are relevant to the advisory services in the Malaysian capital market
- The system and procedures of licensing of persons who carry on the investment advisory business in Malaysia
- The features and prohibitions of investment advisory activities
- The regulations governing the issue and offer of equity securities, listing of corporations and quotations of securities on the Main Market of Bursa Malaysia Securities Berhad (Bursa Securities) (Main Market) and proposals which result in a significant change in the business direction or policy of corporations listed on the Main Market under the Securities Commission Malaysia’s Equity Guidelines
- The regulations setting out who can act as principal advisers for the submission of corporate proposals and the competency standards required
- The regulations governing the conduct of due diligence for corporate proposals by issuers, advisers and experts
- The activities and current trends connected to money laundering and terrorism financing and the Malaysian regulatory approach towards them
- The characteristics and regulations governing take-overs in Malaysia
- The regulations governing valuations of property assets in conjunction with corporate proposals for submission to the Securities Commission Malaysia or for inclusion in prospectuses and circulars
- The regulations governing the issuance and registration of prospectuses
- The regulations governing the issue, subscription, purchase, invitation to subscribe or purchase private debt securities or sukuk to retail investors
- The regulations that must be observed for the purposes of exclusively making available unlisted capital market products to sophisticated investors in Malaysia or persons outside Malaysia
- The regulations governing the issuers of structured warrants
- The regulations governing listing of securities under the Bursa Securities Main Market Listing Requirements, Bursa Malaysia Securities Berhad ACE Market Listing Requirements and Bursa Malaysia Securities Berhad LEAP Market Listing Requirement
It is estimated that this module will require a minimum of 200 hours of study time. Candidates are expected to have relatively strong capability in the application and analysis of information provided in this outline and its reference. The amount of study hours needed depends on the education background and work experience of the candidates. Candidates are also expected to update themselves with the latest changes relevant to this module as all questions will be continuously updated to reflect these changes.
This course will be delivered using effective learning methods which include presentations, discussions and review examination questions.
About the speaker
Thomas is a training consultant with i-Biz Concept Sdn Bhd and has been conducting training for more than fifteen years, specialising in a broad range of financial areas. His background is in investment management, financial planning, corporate finance and relationship management. He is a regular speaker for various SIDC accredited courses as well as certification programmes such as the Certified Financial Planner (CFP). He has spent more than a decade in the financial services industry working within major financial institutions, fund management companies and insurance companies. He is a Certified Financial Planner and previously, held a Capital Market Services Representative Licence for fund management. He studied for his Master Degree in Finance and Bachelor Degree in Marketing at University of Strathclyde, United Kingdom, where he completed a number of research papers, among them “The underpricing of IPO phenomenon in Malaysia” and “Is the Malaysian stock market efficient?”.