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Certified Capital Market Professional (CCMP) in Compliance 1
CPE Eligible
HRDC Claimable 10001501900
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Price Listing

Intake 1/2026 (May) RM3,800 (AM)

Excluding 8% SST

Terms & Conditions

Normal Price

Hybrid

SIDC Learning Portal

46 days
May 4, 2026 - Jun 18, 2026

Intake 1/2026 (May) RM3,800 (PM)

Excluding 8% SST

Terms & Conditions

Group Discount

Hybrid

SIDC Learning Portal

46 days
May 4, 2026 - Jun 18, 2026

Intake 1/2026 (May) RM3,800 (AM)

Excluding 8% SST

Terms & Conditions

Normal Price

Hybrid

SIDC Learning Portal

46 days
May 4, 2026 - Jun 18, 2026

Intake 1/2026 (May) RM3,800 (PM)

Excluding 8% SST

Terms & Conditions

Group Discount

Hybrid

SIDC Learning Portal

46 days
May 4, 2026 - Jun 18, 2026

Certified Capital Market Professional (CCMP) in Compliance 1 is a programme for
aspiring compliance professionals and all employees in the capital market. Covers essential
compliance concepts, functions, approaches, tools, and skill sets related to capital market
laws, principles, and regulatory requirements, technical areas, and general activities of
intermediaries.

METHODOLOGY

The Certified Capital Market Professional (CCMP) Compliance 1 is conducted online through SIDC’s Learning and Assessment Management (LAMS) platform and comprises the following three (3) components:
  1. eLearning and Knowledge Checks (Regulatory, Technical and Behavioural Modules)
  2. Webinars (Collaborative Learning case studies, scenarios and presentation)
  3. Online Summative Assessment (Scheduled and Remote-proctored)
  • CC01 Customer Focus
  • CC02 Ethics and Integrity
  • CC03 Corporate Governance
  • CC04 Risk Management
  • FOR01 Anti-Money Laundering
  • FOR02 Capital Market Institutions
  • FOR03 Capital Market Intermediaries
  • FOR04 Capital Market Products Regulations
  • FOP01 Capital Market Environment
  • FOP03 Capital Market Products
  • FUP03 Compliance
  • FUP06 Derivatives Dealing
  • FUP09 Fund Management
  • FUP14 Know Your Client
  • FUP16 Securities Trading
  • FUP17 Settlement of Derivatives Deals
  • FUP18 Settlement of Securities Trades
  • FUT02 Client Advisory (Investment)
  • FUT04 Digital Technology Application
  • BPM01 Communication
  • BPM04 Networking and Relationship Building

ENTRY REQUIREMENTS

  • Possess a degree / professional qualification from a recognised institution; or
  • Possess a diploma from a recognised institution with a minimum 3 years of relevant capital market experience
  • For CCMP certifications, you must be at least 21 years old, which is in line with the requirements for a Capital Market Services Representative’s License. The age requirement does not apply for those pursuing modular learning.

DURATION OF MODULES

Estimated duration to complete – Up to 4 months

TARGET AUDIENCE

For aspiring Compliance professionals and all employees in the capital market. Covers essential Compliance concepts, functions, approaches, tools, and skill sets related to capital market laws, principles, and regulatory requirements, technical areas, and general activities of intermediaries.

COMPLETION REQUIREMENTS

Candidates must have completed and passed the CCMP in Compliance 1 Learning and Assessment.
This eLearning programme is designed to equip and provide participants in the capital market with a deeper understanding of the essential Compliance concepts, functions, approaches, tools and skillsets on capital market laws, principles and regulatory requirements, technical areas, and general activities of intermediaries.
1 Module 1

Module 1: Essentials of Capital Market Regulations: Intermediaries and Conduct

Recommended learning hours 30 minutes
Overview This course primarily provides an overview of the Malaysian capital market, touching on the various capital market laws and regulations, explaining in detail roles and functions of the entities involved in the capital market (regulators and intermediaries), the rules and regulations applicable to the various regulated activities, function of capital raising, trading, and dealing and the types of offences related to market misconduct and the prohibited conducts.
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Describe the roles and functions of the relevant regulatory bodies related to capital market activities
  2. Explain the regulatory requirements applicable to specific regulated activities
  3. Distinguish capital market activities that are allowed and restricted, including limitations for the allowed activities
  4. Outline products, rules and regulations pertaining to regulated activities
  5. Monitor trades and activities in accordance with applicable procedures and regulations
Topics This module will cover:
  1. Overview of the Malaysian Capital Market
  2. Regulation of the Malaysian Capital Market
  3. Malaysian Capital Market Legal Framework
  4. Licensing
  5. Regulated activities definition & roles
  6. Regulated activities and permitted activities- fit and proper requirements, key management and compliance
  7. Capital Raising on the Primary Market
  8. Trading on the Secondary Market
  9. Derivatives Dealing
  10. Market Misconduct and other Prohibited Conduct
  11. Compensation fund: SIDREC
 

Module 2: Essentials of Capital Market Regulations: AMLA

Recommended learning hours 30 minutes
Overview This course provides participants with an overview of AMLA, its importance and its management to meet legal and regulatory requirements and expectations. It will also enhance participants’ ability to apply appropriate measures to mitigate the money laundering and financing risk in the compliance function.
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Explain the requirements under AMLA applicable to capital markets
  2. Recognise transactions which fall under AML laws and regulation
  3. Determine processes and practices to detect and prevent AML
  4. Describe the roles and functions of the relevant regulatory bodies related to capital market activities
Topics This module will cover:
  1. AMLA Regulatory Framework
  2. The role and importance of AMLA
  3. AMLA Guidelines for the Capital Market
  4. AML Detection and Prevention
  5. The Compliance Role in AMLA

Module 3: Essentials of Compliance

 
Recommended learning hours 30 minutes
Overview This course primarily provides an overview on the concept and importance of compliance, the roles and responsibilities of different parties within a firm in relation to compliance, the functions of compliance officers which include providing advisory, compliance review, conducting or assist in conducting compliance training programme and developing a compliance programme. The course also covers compliance issues including the impact of technology on the compliance role.
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Identify the roles and responsibilities of the compliance function in the firm
  2. Analyse the costs and benefits of compliance
  3. Explain the impact of technological advances which give rise to compliance issues
  4. Determine factors to consider in creating an effective compliance framework
Topics This module will cover:
  1. Essential Compliance Concepts and Principles
  2. Compliance Function – Roles and Responsibilities
  3. Functions of Compliance Officers
  4. Costs and Benefits of Compliance
  5. Rules and Regulations on Compliance
  6. Compliance Issues and Impact of Technology on Compliance Officers
  7. Compliance Review
  8. Essential Framework of a Compliance Programme

Module 4: Essentials of Customer Service: Know Your Client

Recommended learning hours 30 minutes
Overview This course will introduce participants to the concept of effective customer service ranging from customer focus, sales & marketing and know your client and the role of compliance.
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Recognise services offered from the customer’s perspective
  2. Identify appropriate communication style for internal and external customers
  3. Review and propose actions in KYC processes to enhance customer experience while meeting regulatory requirements
Topics This module will cover:
  1. Introduction to Customer Focused Services
  2. Build a customer knowledge set (internal/external)
  3. Communication Focus (internal/external)
  4. Dealing with difficult customers and Pro-active Recovery (internal/external)

Module 5: Compliance, Corporate Governance, Risk and Ethics

Recommended learning hours 30 minutes
Overview This course will provide participants with an introduction on the relevance of corporate governance, risk management and ethics & integrity to compliance in the Malaysian capital market. Participants will be exposed to recommended practices of corporate governance, the identification of risk management practices in organisations, the concept and principles of ethics and integrity in relation to overall compliance for the capital market.
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Define and outline the principles and requirements of good corporate governance
  2. Recognise emerging risks issues and trends in the capital market industry
  3. Identify practices that promote fairness and transparency in dealing with others
  4. Explain the important elements in the Code of Ethics and Code of the Conduct
Topics This module will cover:
  1. Corporate Governance Principles, Framework and Practices
  2. Introduction to Risk Management
  3. Practice of Risk Management in the Capital Market
  4. Concept and Principles of Ethics and Integrity
  5. Code of Ethics and Code of the Conduct for the Capital Market
  6. The relationship between corporate governance, risk management, ethics and integrity and the compliance role

Module 6: Introduction to Capital Markets: Economics, Products and Services

Recommended learning hours 30 minutes
Overview This course provides an overview of economics, capital market environment, types of the capital market products such as equities, fixed income, derivatives, hybrid securities as well as the money market instrument. The concept of time value of money and basic finance theories will be introduced to gain an understanding on risk and return of capital market products.
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Recognise the effects of economic changes, monetary and fiscal policies on the capital market environment and businesses
  2. Identify factors driving the performance of capital market products
  3. Distinguish between Conventional and Islamic Capital Market (ICM)
  4. Explain the risk and return relationship for capital market products
Topics This module will cover:
  1. Introduction to Capital Market Environment
  2. Fundamental of Economics
  3. Capital Market Products and Services (Features, Characteristics and Risk)
  4. Overview of Risk and Return
  5. Introduction to Islamic Capital Market

Module 7 (Part 1) : Securities Trading, Derivatives Dealing and Settlements And Client Advisory In Malaysia

Recommended learning hours 15 minutes
Overview This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives. This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Differentiate the obligations and rights between counterparties of a securities trade and derivatives dealing
  2. Identify products, relevant rules and regulations for securities trade and derivatives dealing and settlement
Topics This module will cover:
  1. Overview on Securities and Derivatives
  2. Securities
  3. Derivatives
 

Module 7 (Part 2) : Securities Trading, Derivatives Dealing and Settlements And Client Advisory In Malaysia

Recommended learning hours 15 minutes
Overview This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives. This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Explain all deals in the trading system in accordance with procedures and regulations
  2. Identify the types of trade and margin required for settlements
  3. Outline the process for payment and transfer of securities stipulated in the rules, regulations and procedures
Topics This module will cover:
  1. Dealing, Trading and Settlement Process
  2. Dealing with client on Securities Trading and Settlement Process
  3. Understanding and interpreting disclosure documents for securities trading

Module 7 (Part 3) : Securities Trading, Derivatives Dealing and Settlements And Client Advisory In Malaysia

Recommended learning hours 15 minutes
Overview This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives. This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Identify and outline the rules and guidelines related to market misconduct, offences and unethical business conduct
  2. Identify issues arising from Digital Technologies and other technological advancements
Topics This module will cover:
  1. Client Advisory
  2. Market Misconduct
  3. Digital Technology Application

Module 8: Fundamentals of Fund Management and Client Advisory in Malaysia

Recommended learning hours 30 minutes
Overview This course covers the fundamentals in relation to fund management from the rules and regulations applicable to fund management companies to the various theories and methods used for the construction of investment portfolios for clients.
Learning Outcomes Upon completion of this programme, participants will be able to:
  1. Outline the regulatory requirements and procedures for fund management
  2. Explain the theories, principles and processes of fund management and the tools to manage a portfolio
  3. Determine procedures to comply with fund management practices
  4. Discuss market developments, trends and market data that have an impact on portfolio performance
Topics This module will cover:
  1. The Fund Management Industry
  2. Investment Background
  3. Portfolio Construction
  4. Monitoring and Review Fund
  5. Compliance and Risk Management
  6. Digital Technology Application


Modules

1 Module 1

Insights into the Compliance Role and Essential Skillsets

Overview  The changes in today’s regulatory and business environments demands different skills on compliance officers. There is a pressing need to upgrade their skills and influence to manage the ever evolving regulatory changes in the increasingly competitive business landscape. This course provides comprehensive, practical insights and strategies in enhancing the behavioural skills relevant to participants starting out as compliance officers in the capital market. This course focuses on the practical strategies in demonstrating the essential behavioural skills to enable them to discharge their functional and advisory roles effectively
Objective This programme will enable participants to recommend an action plan to mitigate compliance issues while anticipating challenges from the business units and communicate with the regulator.
Learning Outcomes By the end of this programme, participants will be able to:
  • Identify the must-have skillsets for compliance officers
  • Describe the role of compliance officers in intermediaries
  • Determine individual competency gaps to work on based on the skillsets and role
  • Interpret the big picture in determining business and regulatory needs
  • Identify issues and challenges surrounding the responsibilities of compliance officers
  • Discuss the elements of good judgement in dealing with issues of business challenges and regulatory expectation
  • Develop an action plan to affect change towards system improvement
Target Audience
  • Individuals
    • For aspiring compliance professionals & all employees in the capital market: Compliance Offiers, Dealers, Trading Representatives, Risk Management Officers, Fund Managers and Analysts.
  • Companies
    • Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies
Programme Outline
Registration
Overview of Compliance Role and Functions
  • Key attributes of a compliance officer
  • The future of businesses and the compliance role
  • Preparing for changes in today’s regulatory environment
  • The compliance function in an intermediary
Screen Break
Essential Skillsets of Compliance Officers
  • Analytical thinking – applying rules to real-life facts
  • Resilience and Adaptability –  dealing with grey areas
  • Communication – communicating at all levels of the organisation
  • Influencing and Negotiation – getting buy-in from everyone
  • Steps you can take to close your competency gaps
Lunch
Compliance in Action
  • Interpreting the spirit of the rule
  • Attention to the big picture – avoiding box ticking, aligning compliance requirements and business needs
  • What is a good compliance culture? i.e. ethics
  • Communicating effectively at different levels i.e. getting BOD & management support
  • Issue and Challenges
Screen Break
Implementing the Action Plan
  • Where to start?
  • Practical steps
  • Tools and resources
  • Collaborating with others
End of Programme

Thinking and Communication Skills for Compliance Officers

Overview  The key roles Compliance Officers need to focus on are advising, educating and monitoring. Practical skills necessary to carry out the compliance function effectively are thinking and communication skills to interact with all levels of the organisation. This course focuses on participants embarking on the compliance function where they will be exposed to problem solving approaches which would be useful in their roles and responsibilities. Participants will also be able to convey ideas and information by applying the communication process to ensure clarity, persuasiveness and confidence.
Objective This programme will enable participants to recommend a solution for a problem or issue supported by possible options in a given situation related to the compliance function
Learning Outcomes By the end of this programme, participants will be able to:
  • Describe thinking and problem solving frameworks and fundamentals
  • Determine the steps to enhance thinking skills to assess compliance matters
  • Explain the concept and process of problem solving and decision making in overseeing the compliance of the relevant rules and regulations
  • Identify potential decision-making strategies in dealing with possible misconduct
  • Develop effective communication techniques to manage compliance conversations
Target Audience
  • Individuals
    • New entrants: Compliance Offiers, Dealers, Trading Representatives, Risk Management Officers, Fund Managers and Analysts.
  • Companies
    • Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies
Programme Outline
Registration
Thinking Frameworks and Fundamentals
  • A framework for thinking
  • The need for thinking skills
  • Enhancing thinking skills
  • Dealing with compliance issues
Screen Break
Essentials of Problem Solving and Decision Making
  • Data gathering
  • Analysis
  • Decision making strategies
  • Overseeing the application of and conformance with the relevant rules and regulations
Lunch
Communication for Better Workplace Efficiency
  • Listening skills crucial to the compliance function
  • Communication in context
  • Verbal and written communication and effectiveness
  • Bringing compliance issues to the attention of the BOD and management
Screen Break
Managing Effective Compliance Conversations
  • Managing effective compliance conversations
  • Handling difficult conversations
  • Effective use of digital communication
  • Choosing the right communication channels
End of Programme

Networking and Relationship Building in Compliance

Overview  The compliance unit is essential in any capital market intermediary as it serves to ensure that everyone working in the capital market intermediary adheres to laws and regulation. In order to carry out its function effectively, the compliance unit should establish a strong network and relationship with internal and external parties to ensure the smooth running of the business at the same time comply with laws and regulations. The course will enable participants to create networking opportunities and build relationships with both internal and external parties to enable meaningful conversations on compliance to be carried out. This course introduces techniques and strategies to build confidence in networking among various stakeholders. Participants will take part in discussions, interactive tasks and role plays to immediately put into practice the techniques and strategies taught.
Objective Participants will be able to build effective networks between compliance unit and various stakeholders and avoid the common pitfalls when building business relationships.
Learning Outcomes By the end of this programme, participants will be able to:
  • Describe the general concept of business networking and its importance in the compliance fraternity
  • Explain the process of starting effective networking relationships and building up rapport with counterparties
  • Discuss the common pitfalls when building business relationships among different stakeholders
  • Apply the appropriate techniques when asking questions to counterparties
  • Articulate the importance of establishing meaningful business relationships and effective stakeholder engagement
Target Audience
  • Individuals
    • For aspiring compliance professionals & all employees in the capital market: Compliance Offiers, Dealers, Trading Representatives, Risk Management Officers, Fund Managers and Analysts.
  • Companies
    • Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies
Programme Outline
Registration
Essentials of Networking
  • General concept of networking in business
  • Networking needs for compliance
    • Internal network
    • External network
  • Networking for compliance role: professional networking vs social networking vs personal networking
    • Similarities and differences in networking practices among different networks
Preparation in Establishing Network
  • Examining existing network
    • External: Regulators, counterparts in the industry, professional association, social media networks
    • Internal: Management, Board of Directors, internal departments
    • Professional associations
    • Online/social media networks
Screen Break
Building Effective Networking
  • How to initiate communication based on types of networking
  • Tailoring communication style and delivery method according to network type
  • Asking questions effectively
    • What to ask during networking sessions?
    • What not to ask during networking sessions?
    • Open ended vs close ended
  • Common pitfalls to avoid during communication
Role play: Initiate conversations during networking sessions using effective questioning techniques based on types relationships
Lunch
Expanding and Strengthen Network
  • Building-up rapport with new network
  • Managing existing networks and working relationships
  • Networking events and expectations
    • Face-to-face etiquette and best practices
    • Online etiquette and best practices
  • Building Meaningful Relationships
    • Importance of building meaningful relationships
    • Key to a lasting relationship in business
  • Managing network among crucial stakeholders
    • Regulator
    • Board of Directors
    • Management
Screen Break
Making Effective Stakeholder Engagement
  • Perform stakeholder analysis to identify their needs and concerns
  • Stakeholder Engagement Continuum
  • How to persuade and influence various stakeholders in getting buy-ins?
Role play: Networking with different types of stakeholders by them?
End of Programme
Before registering, please go through the programme Handbook and Terms and Conditions that are accessible through this page’s Download section
1 eLearning Course

eLearning Course

PROGRAMME NAME REGISTRATION END DATE FEE (RM) REGISTRATION LINK
Essentials of Compliance (formerly known as CCMP in C1 eLearning Package) All Year Long 550.00 Register Here 
 

Webinar (inc. Certificate)

The CCMP in Compliance 1’s E-Learning and Webinars are available as standalone packages. Register for the complete CCMP in Compliance 1 programme to earn the CCMP certification.    
PROGRAMME NAME REGISTRATION END DATE ASSESSMENT SCHEDULE FEE (RM) REGISTRATION LINK
CCMP–C1 (Intake 1/2026) 30 April 2026 18 June 2026           10.00am – 11.30am View Here 3,800.00 Register Here 
18 June 2026             2.30pm – 4.00pm Register Here