Overview

This course discusses the role of compliance in business sustainability and the future direction of compliance. The application on the concepts of strategy, accounting, finance, marketing and operations in capital market are explored and how they are aligned with changes occurring in business, social-political, environment and technology; to build successful sustainability-driven ventures that creates value for multiple stakeholders in the capital market.

 

Objective

Participants will be able to align compliance frameworks and the compliance function to business strategies to ensure sustainability leveraging on transformation of economy, social-political, environment and the use of advanced technologies amidst challenging market forces.

 

Learning Outcomes

By the end of this programme, participants will be able to:

• Analyse the impact of changes in economic landscape to the capital market business and compliance function
• Recognise current trends of technological innovation and disruption in the capital market and how it impacts compliance frameworks
• Discuss new approaches and best practices for future compliance frameworks in meeting emerging trends, business needs and market demands to ensure business sustainability
• Adapt business structure and processes to capitalise on technological advancements while maintaining compliance to the current regulatory requirements

Target Audience

Individuals

For experienced compliance professionals and senior management: Compliance Officers, Risk Management Officers, Internal Auditors, Fund Managers, Dealers, Trading Representatives and Analysts

Companies

Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies

 

Competencies

Capital Market Fundamentals (Proficiency Level 4-5) Capital Market Products (Proficiency Level 4-5) Capital Market Environment (Proficiency Level 4-5) Islamic Capital Market (Proficiency Level 4- 5) Assets Management (Proficiency Level 4-5) Digital Technology and Application (Proficiency Level 4-5)

 

Programme Outline

	Registration
10.00 am	The Malaysian Landscape – Where Are We Now? Economic landscape post pandemic: How has the capital market fared? General compliance and risk management Data analytics and behavioural assessment Application and transformation to RegTech and SupTech Readiness assessment – Disruptors & innovations
11.30 am	Screen Break
11.45 am	Best Practices of Towards Future-Proof Compliance Programme Defining a clear compliance vision and strategy Developing the organisation’s risk taxonomy Enabling a risk-oriented approach to compliance Broadening the compliance mandate to business and advisory
12.45 pm	Lunch
2.00 pm	Technological Advancement and Innovations Today How digital innovations are changing the capital market and its compliance function in managing risk Process automation Big data analytics and AI KYC and due diligence Smart contracts Cloud technology Case studies: How do businesses capitalise on the digital innovations to drive business sustainability and enhance compliance?
3.30 pm	End of Programme

Overview

The success of a compliance programme is dependent on the compliance management advisory and advocacy of the compliance unit and officers. Running a compliance programme means dealing with changing regulatory requirements, greater scrutiny from regulators, an increasingly mobile workforce and shrinking budgets.

An effective compliance programme, a risk-based approach to compliance, the right leadership tone, the organisation’s ethical culture and robust internal controls can provide the necessary customer protection, build and establish a sound market reputation and strengthen competitive advantage.

The course will provide an overview on how an organisation can promote compliance and investor protection practices in view of the constant changes to the regulatory framework and business environment as well as the potential barriers to inculcate a compliance culture.

 

Objective

Participants will be able to assess and review their organisation’s compliance programmes and recommend improvements to ensure effectiveness and alignment to business policies which promotes the culture of compliance and investor protection practices across the organisation.

 

Learning Outcomes

By the end of this programme, participants will be able to:

• Explain the business case for compliance for market resilience and investor protection
• Elaborate the duties and responsibilities of compliance advisor and advocate
• Describe the behavioural skills set required by compliance advocates
• Examine the critical components and activities in compliance monitoring and risk conduct
• Relate how setting the right tone from the top and organisational culture helps to establish a positive compliance culture
• Discuss the future of the compliance function, its adaptability to the ever changing environment, and facing the challenges that lie ahead

Target Audience

Individuals

For experienced compliance professionals and senior management: Compliance Officers, Risk Management Officers, Internal Auditors, Fund Managers, Dealers, Trading Representatives and Analysts

Companies

Fund management companies, stockbroking firms, investment banks, alternative financing platforms, start-ups, exchanges, public listed companies

 

Competencies

Functional (Process) – Compliance (Proficiency Level 5) Core – Risk Management (Proficiency Level 4) Functional (Technical) – Client Advisory (Proficiency Level 4)

 

Programme Outline

8.30 am	Log in to the Webinar
9.00 am	The Business Case for Compliance The state of the compliance landscape today Business performance vs impact of non-compliance Market resilience and investor protection Real world examples: The good, the bad & the ugly and lessons learnt
10.00 am	Screen Break
10.30 am	Compliance Advisory and Advocacy Duties and responsibilities as a compliance advisor and advocate in relation to: Rules and regulations of the regulators Money laundering and terrorism financing Organisation business and compliance practice/programmes Behavioural/skills for compliance advocates Compliance monitoring and risk conduct Compliance programmes assessment and identifying the gaps – reaching out to stakeholders i.e. Internal audit on issues of mutual importance Compliance risk management approach and analysis Execute compliance testing, findings, reporting, recommendations and issue tracking resolution Interacting with the regulator and beyond
11.30 am	Tone at the Top and Organisational Culture Board and management – Commitment and ‘lead by example’ Establishing a positive organisational compliance culture Sound compliance framework and management Communication and training – Transforming words into action Safe space – Non-compliance management and incident response Using technology as a tool
12.30 pm	Screen Break
2.00 pm	Compliance Function and Beyond Integrated compliance programmes – Driving synergies and holistic approach in business operations Future complexities – Evolving regulatory & business landscape and its expectations Analytics and technology – Forward looking approach to data-based compliance ` The next-gen compliance talent – Extending the role and skill sets
3.00 pm	End of Programme

Overview

Doing business today is competitive, unpredictable, yet more regulated and scrutinised than before. It is becoming more challenging with risks and uncertainties that may impact the organisation’s reputation, financial and business activities.

This course provides an insight into the regulatory framework governing the capital market and the impact of emerging trends and disruptors affecting the regulatory framework and role of compliance. The course will also provide participants with the knowledge and skills in carrying out their duties as a capital market professional overseeing the compliance function in relation to corporate governance practices, risk management in the context of ethical practices and compliance.

 

Objective

This programme will enable participants to review the existing regulatory framework and the impact of emerging trends and disruptors to the current regulatory framework and establish improvements in organisational practices based on the principals of corporate governance, risk management and ethics to achieve business sustainability.

 

Learning Outcomes

By the end of this programme, participants will be able to:

• Discuss the impact of regulatory and business environment to the compliance function
• Explain the role and responsibilities of directors in risk management and oversight
• Examine the close alignment between compliance and risk management in organisations
• Determine key principles, framework and practices of good governance and its importance
• Develop strategies for compliance management and dealing with non-compliance

Target Audience

Individuals

For experienced compliance professionals and senior management: Compliance Officers, Risk Management Officers, Internal Auditors, Fund Managers, Dealers, Trading Representatives and Analysts

Companies

Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies

 

 

Competencies

Foundational (Regulatory) – Capital Market Institutions (Proficiency Level 5) Foundational (Regulatory) – Capital Market Intermediaries (Proficiency Level 5) Core – Ethics & Integrity (Proficiency Level 5) Core – Corporate Governance (Proficiency Level 4) Core – Risk Management (Proficiency Level 4) Functional (Technical) – Digital Technology Application (Proficiency Level 3)

 

Programme Outline

	Registration
10.30 am	Regulation and Compliance Regulatory expectations and the goal of compliance Comparative analysis: Malaysia and other jurisdictions Emerging regulatory issues in the capital market
11.30 am	Screen Break
11.45 am	Risk Management and Oversight Directors role in overseeing risk management Risk management framework The BOD as gatekeepers Risk oversight and compliance
12.45 pm	Lunch
2.00 pm	Compliance Management Strategies Managing stakeholders Human capacity building Corporate governance best practices
3.00 pm	Screen Break
3.15 pm	Managing Non-Compliance The psychology behind non-compliance Compliance risk management Case study discussion
4.15 pm	End of Programme

Overview

Regulatory technology, or RegTech, is a technology solution designed to help financial institutions manage regulatory compliance. This innovation will definitely pose a great benefit to the capital market intermediaries in terms of ensuring compliance to local laws and regulation as well as managing risk surrounding the firm’s business.

As business and product development advances, regulators too are facing challenges in monitoring and enforcing capital market laws and regulation to the intermediaries. Supervisory technology, which is commonly dubbed SupTech, will enable the regulators in carry its duty and shift away from away from templates and manual procedures.

This programme provides insights into the evolution of FinTech leading to developments in RegTech and SupTech, breaks down the basic concepts, features and solutions of RegTech and SupTech while discussing case studies on the implementation of RegTech and SupTech solutions and technologies.

 

Objective

This programme will discuss the overview of RegTech and SupTech developments, the solutions and technologies, the benefits, opportunities, risks, challenges and the strategies to implement and adopt RegTech and SupTech in monitoring, reporting and complying with the regulatory requirements.

 

Learning Outcomes

By the end of this programme, participants will be able to:

• Discuss the basic concepts, features and solution for RegTech and SupTech and its impact to capital market
• Distinguish the various technologies available to regulators and intermediaries that support the underlying solutions
• Relate how RegTech and SupTech can be capitalised to improve regulatory supervision and monitoring as well as capital market intermediaries’ compliance and risk management
• Develop strategies to for capital market compliance function to implement RegTech and SupTech based on real life case studies

Target Audience

Individuals

For experienced compliance professionals and senior management: Compliance Officers, Risk Management Officers, Internal Auditors, Fund Managers, Dealers, Trading Representatives and Analysts.

Companies

Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies

 

Competencies

Core – Compliance (Proficiency Level 5) Functional (Technical) – Digital Technology Application (Proficiency Level 3) Foundational (Regulatory) – Capital Market Institutions (Proficiency Level 3) Foundational (Regulatory) –Capital Market Intermediaries (Proficiency Level 3)

 

Programme Outline

8.30 am	Log in to the Webinar
9.00 am	Overview of RegTech and SupTech for the Capital Market Evolution of FinTech – the journey & the hype Interlinkages between RegTech and SupTech The force behind the innovation drive – recognition How does RegTech and Suptech impact the capital market
10.00 am	Screen Break
10.30 am	The Basics of RegTech Concepts and objectives – in achieving the RegTech agenda Blockchain and Big Data – leveraging on analytics Benefits and opportunities from a regulator perspective Challenges and risks – industry and regulations The Basics of SupTech Breaking down SupTech solutions Leveraging on AI for effective oversight Regulation & Supervision – key risks assessment Challenges and risks recognition
12.30 pm	Screen Break
2.00 pm	Embracing Regtech: A Game Changer for Capital Market Players Strategies to be adopted as a regulator Success factors and lessons learnt Considerations for future policy decisions Case studies: Implementation of Regtech in enhancing compliance and risk management among capital market intermediaries
3.00 pm	End of Programme