RegTech - The Innovation to Manage Risk and Compliance

RegTech - The Innovation to Manage Risk and Compliance 

Dates:  13 June 2017 (8.30am - 12.30pm) 
Venue: Securities Commission Malaysia
Accreditation: SIDC CPE-approved: 5 CPE points

Those responsible for compliance and risk management functions need to actively stay on top of the latest laws, regulations and business trends and being able to translate these into requirements for the operations of the organisation. This programme presents the latest international trends and developments in meeting investors' needs, be they high net worth individuals or organisations. This programme aspires to gather the most updated knowledge and expertise from experts and combine them with local knowledge and practice in order to effectively address current compliance challenges in a continuously evolving environment. This is a platform to discuss and exchange practical ideas on how to achieve effective compliance and risk management.

  • Programme Delivery

    Programme Objective

    The programme aims to provide the latest updates in relation to recent industry developments as well as the regulatory changes and issues involved in compliance and risk management

    Learning Outcomes

    • To recognise the latest developments in regulatory structures around the region;
    • To analyse the impact of the latest digital technology in relation to compliance;
    • To redefine the high-level contextual functions of compliance officers in addressing the digital technology; and
    • To discuss strategic plans in acquiring the right infrastructure and human capital integrity.


    Presentations, panel discussions and case study discussions

    Target Audience

    • Officers in compliance and risk management functions of capital market intermediaries (e.g. stockbroking companies, futures brokers and fund management companies)
    • Other stakeholders in charge of governance (e.g. investment advisers, legal advisers and directors)
  • Programme Outline

    Tuesday, 13 June 2017
    8.30am Registration
    RegTech: Impact of the Latest Digital Technology in Regulatory Structures
    • Current regulatory structures around the region
    • Rise of digital technology and its impact on the capital market services industry, with a focus on compliance
    • RegTech and its impact on compliance
    • Managing stakeholders' expectations
    • Getting the right people and infrastructure on board as well as securing management buy-in
    Speaker: Nizam Ismail, Director of RHT Compliance Solutions  

    An update on the latest developments around the region and how it impacts compliance in particular
    10.30am  Coffee Break
    11.00am Discussion: Redefining the Compliance and Risk Management Functions in Addressing the Digital Technology
    • How the new technology influences and impacts the compliance and risk management processes
    • Redefining the skills, knowledge levels and role of compliance and risk management officers
    Moderator: Nizam Ismail, Director of RHT Compliance Solutions
    • Chan Zhong Yang, Senior Manager, Innovation, Digital & Strategy, Securities Commission Malaysia
    • Suhana Selamat, Chief Risk Officer, Khazanah Nasional
    • Kwan Keen Yew, Group Chief Compliance Officer, CIMB Group
    A discussion between the audience and panellists comprising the regulator, subject matter experts and industry players  
    12.30pm  End of Programme
  • Programme Fees

    RM 550 + 6%GST = RM 583