

Certified Capital Market Professional (CCMP) – Compliance Advocate is for experienced compliance professionals to lead, mentor, and network with compliance communities of practice, and discuss compliance issues, scenarios, formulate strategies, and solutions which balance business needs with regulatory requirements and expectations.
Entry Requirements
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Completion Requirements
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Capital Market Roundtable on Compliance
More Info Coming Soon
Webinars: Compliance Modules 1 – 4
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
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Programme Outline
Registration | |
10.00 am | The Malaysian Landscape – Where Are We Now?
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11.30 am | Screen Break |
11.45 am | Best Practices of Towards Future-Proof Compliance Programme
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12.45 pm | Lunch |
2.00 pm | Technological Advancement and Innovations Today
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
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Programme Outline
8.30 am | Log in to the Webinar |
9.00 am |
The Business Case for Compliance
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10.00 am | Screen Break |
10.30 am | Compliance Advisory and Advocacy
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11.30 am | Tone at the Top and Organisational Culture
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12.30 pm | Screen Break |
2.00 pm | Compliance Function and Beyond
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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
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Programme Outline
Registration | |
10.30 am | Regulation and Compliance
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11.30 am | Screen Break |
11.45 am | Risk Management and Oversight
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12.45 pm | Lunch |
2.00 pm | Compliance Management Strategies
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3.00 pm | Screen Break |
3.15 pm | Managing Non-Compliance
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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
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Programme Outline
8.30 am | Log in to the Webinar |
9.00 am | Overview of RegTech and SupTech for the Capital Market
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10.00 am | Screen Break |
10.30 am | The Basics of RegTech
The Basics of SupTech
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12.30 pm | Screen Break |
2.00 pm | Embracing Regtech: A Game Changer for Capital Market Players
Case studies: Implementation of Regtech in enhancing compliance and risk management among capital market intermediaries |
3.00 pm | End of Programme |