Familiarisation Programme for Trading Representatives (FPTR) I & II

Familiarisation Programme for Trading Representatives (FPTR) I & II

Learn ONLINE and fulfil your entry requirements to be registered as a Trading Representative (TR)!

The Securities Industry Development Corporation (SIDC) is pleased to announce the revised standalone structure as approved by Securities Commission Malaysia for the Familiarisation Programme for Trading Representatives (FPTR). This programme is designed as a learning tutorial covering the knowledge and skills relevant for Trading Representatives (TRs) pursuant to the Licensing Handbook  to carry out their duties competently and in compliance with prevailing laws and regulations.

New revised structure now available in two (2) options to choose from consisting learning and revision programmes  through online and classroom delivery!

With the revised structure, candidates will also have the flexibility to learn at their own pace as well as have more learning avenues and learning time (maximum of 2 months access to the eFPTR) before attempting the assessment.

FAMILIARISATION PROGRAMME FOR TRADING REPRESENTATIVES I (FPTR I)

FPTR I Option A
FPTR I Option B

FAMILIARISATION PROGRAMME FOR TRADING REPRESENTATIVES II (FPTR II)

FPTR II Option A
FPTR II Option B

SCHEDULE & PROGRAMME OUTLINE

FPTR I OPTION A

eFPTR I Learning Programme +  Assessment

The eFPTR1 is a self-directed online learning programme offered via the SIDC Learning Management System (SIDC eLearn) platform comprising of 11 modules. It is designed as a learning tutorial covering the knowledge and skills relevant for Trading Representative (TRs) (as defined in the Licensing Handbook) to carry out their duties competently and in compliance with prevailing laws and regulations. The broad spectrum of e-learning tutorials will provide a comprehensive understanding of the Malaysian securities market for Trading Representatives (TRs) working with Participating Organisations (POs) to carry out their duties effectively and in compliance with the law.

Upon completion of this learning programme in accordance to the recommended learning hours set out below, participants will be better prepared to undertake the FPTR1 Assessment.

eFPTR I Assessment Schedule and Programme Outline

  DATE   SESSION   TIME  PROGRAMME       OUTLINE
  28 Aug 2020   Familiarisation Programme for Trading Representatives I   10.00 am – 11.45 am
  25 Sept 2020   Familiarisation Programme for Trading Representatives I   10.00 am – 11.45 am
  30 Oct 2020   Familiarisation Programme for Trading Representatives I   10.00 am – 11.45 am
  27 Nov 2020   Familiarisation Programme for Trading Representatives I   10.00 am – 11.45 am
  18 Dec 2020   Familiarisation Programme for Trading Representatives I   10.00 am – 11.45 am

Learning Outcomes

Upon completing the programme, the participant should be able to:

  • Describe the general overview of the Malaysian securities markets and its main participants
  • Explain the regulatory structure of the securities industry in Malaysia
  • Explain the main laws and regulations governing the operation of the securities industry in Malaysia
  • Illustrate the relationship between the stockbroking company, licensed representative, trading representatives and clients
  • Describe the activities and current trends connected to money laundering and terrorism financing and the Malaysian regulatory approach towards them
  • Outline the licensing requirements and obligations of person(s) who carries (carry) on the business of dealing in securities and their representatives
  • Define various securities offences and description of how they are regulated
  • Describe the operations of the stock market in Malaysia
  • Recognize the uses of financial statements and its significance in financial and investment analysis
  • Identify essential elements of financial statements which are used in carrying fundamental analysis
  • Explain the features, characteristics and risk associated to various capital market products.

Recommended Learning Hours

5.5 hours to complete all 11 modules (including the knowledge-check)

Competencies

FOR01 Anti-Money Laundering
FOR02 Capital Market Institutions
FOR03 Capital Market Intermediaries
FOP02 Capital Market Fundamentals
FOP03 Capital Market Products
FUT05 Fundamental Analysis
FUP16 Securities Trading
FUP18 Settlement of Securities Trades

All at proficiency level 2

Target Audience

Designed for those who intend to be to be registered as a Trading Representative (TR) pursuant to the Licensing Handbook.

FPTR I OPTION B

Revision (Classroom) Programme + eFPTR I Learning Programme +  Assessment

This one day tutorial is designed to provide comprehensive understanding of the Malaysian securities market for Trading Representatives (TRs) working with Participating Organisations (POs) to carry out their duties effectively and in compliance with the law. It covers the securities industry with specific focus on Malaysian market, regulatory structure and its governing laws, duty and standard care of dealing in securities, various offences and stock market operations including financial statements and its significance in financial and investment analysis together with the features, characteristics and risk associated to various capital market products. This programme will serve as complementary to self-learning carried out through SIDC LEARN.

**Stay tuned. Schedule and full programme outline for FPTR I Option B will be updated soon.**

Learning Outcomes

Upon completing the programme, the participant should be able to:

  • Describe the general overview of the Malaysian securities markets and its main participants
  • Explain the regulatory structure of the securities industry in Malaysia
  • Explain the main laws and regulations governing the operation of the securities industry in Malaysia
  • Illustrate the relationship between the stockbroking company, licensed representative, trading representatives and clients
  • Describe the activities and current trends connected to money laundering and terrorism financing and the Malaysian regulatory approach towards them
  • Outline the licensing requirements and obligations of person(s) who carries (carry) on the business of dealing in securities and their representatives
  • Define various securities offences and description of how they are regulated
  • Describe the operations of the stock market in Malaysia
  • Recognize the uses of financial statements and its significance in financial and investment analysis
  • Identify essential elements of financial statements which are used in carrying fundamental analysis
  • Explain the features, characteristics and risk associated to various capital market products.

Candidates’ Prerequisites

It is estimated that this module will require a minimum of 80 hours of study time. Candidates are expected to possess good knowledge and understanding of the subject matter provided in this study outline and specified references. 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.

Competencies

FOR01 Anti-Money Laundering
FOR02 Capital Market Institutions
FOR03 Capital Market Intermediaries
FOP02 Capital Market Fundamentals
FOP03 Capital Market Products
FUT05 Fundamental Analysis
FUP16 Securities Trading
FUP18 Settlement of Securities Trades

All at proficiency level 2

Target Audience

Designed for those who intend to be to be registered as a Trading Representative (TR) pursuant to the Licensing Handbook.

FPTR II OPTION A

eFPTR II Learning Programme +  Assessment

The eFPTR II is a self-directed online learning programme offered via the SIDC Learning Management System (SIDC eLearn) platform comprising of 16 modules. It is designed as a learning tutorial covering the knowledge and skills relevant to individuals who have passed the FPTR 1 (or previous FPRR1) assessment and intend to apply for a Capital Market Services Representative’s Licence (CMSRL) to carry on the regulated activity of dealing in securities.

Upon completion of this learning programme in accordance to the recommended learning hours set out below, participants will be better prepared to undertake the FPTR2 Assessment.

  DATE   SESSION   TIME  PROGRAMME       OUTLINE
  28 Aug 2020   Familiarisation Programme for Trading Representatives II   03.00 pm – 04.45 am
  25 Sept 2020   Familiarisation Programme for Trading Representatives II   03.00 pm – 04.45 am
  30 Oct 2020   Familiarisation Programme for Trading Representatives II   03.00 pm – 04.45 am
  27 Nov 2020   Familiarisation Programme for Trading Representatives II   03.00 pm – 04.45 am
  18 Dec 2020   Familiarisation Programme for Trading Representatives II   03.00 pm – 04.45 am

Learning Outcomes

Upon completing the programme, the participant should be able to:

  • Explain the Malaysian capital market regulatory framework;
  • Describe the functions and activities of Bursa Malaysia Securities Berhad, its components and market participants;
  • Identify the screening criteria for Shariah securities for the Islamic capital market;
  • Distinguish the characteristics of the various forms of corporate structure in Malaysia;
  • Explain the duties and rights of Participating Organisations (POs) as well as the rules governing their relationship with clients;
  • Identify the various types of securities offences under the Capital Market and Services Act;
  • Explain the key essence of money laundering and terrorism financing as well as the obligation to protect clients’ information;
  • Outline the various steps and processes of raising capital in the Main market, ACE Market and LEAP Market;
  • Describe the essential elements of a contract and common law remedies for breach of contract;
  • Describe the licensing framework which operates in Malaysia;
  • Identify the characteristics and regulations governing take-overs and mergers in Malaysia;
  • Explain the trading conducts and mechanism on Bursa Malaysia Securities Berhad;
  • Distinguish between fundamental and technical analysis in analysing stock performance;
  • Recognise the users and uses of financial statements in financial and investment analysis;
  • Identify elements of financial statements and extract key information available for carrying fundamental analysis;
  • Describe and distinguish the various available capital market products such as equity, fixed income, bonds, structured products and exchange-traded funds;
  • Apply the appropriate concepts in the pricing and valuation of equity securities, fixed income and bond contracts; and
  • Apply technical analysis in evaluating the performance of a stock

Recommended Learning Hours

8 hours to complete all 16 modules (including the knowledge-check)

Competencies

FOR04 Capital Market Products Regulations (proficiency level 2)
FOR06 Takeovers and Mergers (proficiency level 2)
FOR01 Anti-Money Laundering
FOR02 Capital Market Institutions
FOR03 Capital Market Intermediaries
FUP16 Securities Trading
FUP18 Settlement of Securities Trades
FOR05 Islamic Capital Market Regulations
FUP14 Know Your Client
FOP01 Capital Market Environment
FOP02 Capital Market Fundamentals
FOP03 Capital Market Products
FUT05 Fundamental Analysis
FUT07 Technical Analysis

All at proficiency level 3

Target Audience

Designed for those who have passed the FPTR 1 (or previous FPRR1) assessment and intend to apply for a Capital Market Services Representative’s Licence (CMSRL) to carry on the regulated activity of dealing in securities.

FPTR II OPTION B

Revision (Classroom) Programme + eFPTR II Learning Programme +  Assessment

This three-day programme is designed to provide comprehensive understanding of the Malaysian securities market for individuals who have passed the FPTR I (or previous FPRRI) assessment and intend to apply for a Capital Market Services Representative’s Licence (CMSRL) to carry on the regulated activity of dealing in securities. The programme will cover the securities industry with specific focus on the Malaysian market, regulatory structure and its governing laws, duty and standard care of dealing in securities, various offences and stock market operations. Followed by the financial statements and its significance in financial and investment analysis together with the features, characteristics and risk associated to various capital market products. It also discusses the appropriate concepts in the pricing and valuation of equity securities, fixed income and bond contracts; and apply technical analysis in evaluating the performance of a stock.This programme will serve as complementary to self-learning carried out through SIDC LEARN.

**Stay tuned. Schedule and full programme outline for FPTR II Option B will be updated soon.**

Learning Outcomes

Upon completing the programme, the participant should be able to:

  • Explain the Malaysian capital market regulatory framework;
  • Describe the functions and activities of Bursa Malaysia Securities Berhad, its components and market participants;
  • Identify the screening criteria for Shariah securities for the Islamic capital market;
  • Distinguish the characteristics of the various forms of corporate structure in Malaysia;
  • Explain the duties and rights of Participating Organisations (POs) as well as the rules governing their relationship with clients;
  • Identify the various types of securities offences under the Capital Market and Services Act;
  • Explain the key essence of money laundering and terrorism financing as well as the obligation to protect clients’ information;
  • Outline the various steps and processes of raising capital in the Main market, ACE Market and LEAP Market;
  • Describe the essential elements of a contract and common law remedies for breach of contract;
  • Describe the licensing framework which operates in Malaysia;
  • Identify the characteristics and regulations governing take-overs and mergers in Malaysia;
  • Explain the trading conducts and mechanism on Bursa Malaysia Securities Berhad;
  • Distinguish between fundamental and technical analysis in analysing stock performance;
  • Recognise the users and uses of financial statements in financial and investment analysis;
  • Identify elements of financial statements and extract key information available for carrying fundamental analysis;
  • Describe and distinguish the various available capital market products such as equity, fixed income, bonds, structured products and exchange-traded funds;
  • Apply the appropriate concepts in the pricing and valuation of equity securities, fixed income and bond contracts; and
  • Apply technical analysis in evaluating the performance of a stock.

Candidates’ Prerequisites

It is estimated that this module will require a minimum of 80 hours of study time. Candidates are expected to possess good knowledge and understanding of the subject matter provided in this study outline and specified references. 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.

Competencies

FOR04 Capital Market Products Regulations (proficiency level 2)
FOR06 Takeovers and Mergers (proficiency level 2)
FOR01 Anti-Money Laundering
FOR02 Capital Market Institutions
FOR03 Capital Market Intermediaries
FUP16 Securities Trading
FUP18 Settlement of Securities Trades
FOR05 Islamic Capital Market Regulations
FUP14 Know Your Client
FOP01 Capital Market Environment
FOP02 Capital Market Fundamentals
FOP03 Capital Market Products
FUT05 Fundamental Analysis
FUT07 Technical Analysis

All at proficiency level 3

Target Audience

Designed for those who have passed the FPTR 1 (or previous FPRR1) assessment and intend to apply for a Capital Market Services Representative’s Licence (CMSRL) to carry on the regulated activity of dealing in securities.


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