HRD Corp Registered Course/Programme No.: 10001152105
Learn Malaysian Capital Market Insights Series ONLINE and fulfil your CPE points anytime, anywhere!
Learning and development made simpler and more interactive.
SIDC has developed an online learning environment where our programmes are now available without the constraints of time, space and location. Traditional contents are transformed into simple yet effective and self-paced modules.
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Learning Hours:
4.2 Hours / 250 minutes (8 Modules)
Price:
RM 550 (fee is not inclusive of 6% SST)
CPE Points & CPD Hours Earned :
10 CPE Points | 8 CPD Hours
The listed price is intended for Malaysian participants only. If you are a non-Malaysian, we kindly request you to reach out to Mr. Nor Effendi Othman at EffendiO@sidc.com.my for further information.
Experience SIDC’s Malaysian Capital Market Insights Series Online
- User friendly and easy to understand learning contents
- Access to downloadable acts, guidelines and checklists
- Guided by recommended learning hours for you to plan your learning-time efficiently
- Recommended Listening, for example from BFM Radio station to support your learning
- Frequently Asked Questions (FAQs) section to reinforce your understanding on certain subjects
- You may gauge your understanding of the subjects by taking a short assessment known as “Knowledge Check” at the end of each module. In the same session, you can also assist Adrian, a fictional Marketing Representative to complete his tasks and assignments while you are putting into practice what you have learned previously. Not to mention, you get to play a “Market and Cycle” game to further strengthen your understanding of certain subjects
About SIDC’s Malaysian Capital Market Insights Series
The Malaysian Capital Market Insights Series consists primarily of eight (8) modules for Capital Market Service Representative’s License (CMSRL) holders.
- Overview of the Malaysian Capital Market
- Malaysian Capital Market Regulatory Landscape
- Regulatory Framework Governing the Malaysian Capital Market Regulated Activities
- Legal Relationship Between a Capital Market Intermediary and a Client
- Know Your Client and Anti Money Laundering
- Market and Business Misconducts, and the Offences
- Customer Service Excellence
- Marketing Excellence
The programme will conclude with an interactive quiz aimed at assessing participants’ understanding of the modules they have just completed in accordance with recommended learning hours.
Learning Outcomes
This is a structured and interactive programme series designed to provide the participant with key take-aways of important capital market concepts, products and services in the context of the Malaysian Capital Market regulatory framework and environment. Upon completion of this programme, participants will be able to:
- Determine relevant capital market products and services to serve specific objectives considering the associated risks
- Describe the regulatory landscape of the Malaysian Capital Market and the roles and functions of the relevant regulatory bodies related to capital market activities
- Distinguish capital market activities that are allowed and restricted, including limitations for allowed activities
Outline the obligations of licensed persons to their clients as prescribed by the rules, regulations and ethical sales best practices - Perform client identification and profiling to establish the risks of doing financial business with the client in accordance to the regulatory requirements and standard practices for KYC and Anti-money laundering activities
- Identify and outline the rules and guidelines related to market misconduct, offences and unethical business conduct and take the necessary precautions in executing their obligations to prevent such conduct
- Outline customer service practices that will enable the delivery of product and services that meet the needs of customers (internal/external) in a professional, efficient and ethical manner to create value to stakeholders
- Distinguish appropriate techniques and solutions to gain customer’s acceptance for proposed products or services
Who Should Register?
Designed for those who perform or undertake functions relevant to Dealing in Securities, mainly:
- CMSRL Dealing in Securities
- CMSRL in other regulated activities
- Employees of regulatory and enforcement agencies
Competency Level |
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Foundational (Regulatory): FOR04 Capital Market Products Regulation (Proficiency Level 3) FOR05 Islamic Capital Market Regulations (Proficiency Level 3) FOR01 Anti-Money Laundering (Proficiency Level 3) FOR02 Capital Market Institutions (Proficiency Level 3) FOR03 Capital Market Intermediaries (Proficiency Level 3) Foundational (Product): FOP03 Capital Market Products (Proficiency Level 3) FOP02 Capital Market Fundamentals (Proficiency Level 3) Functional (Technical): FUT02 Client Advisory (Investment) (Proficiency Level 3) Functional (Process Skills): FUP14 Know Your Client (Proficiency Level 3) FUP15 Sales and Marketing (Proficiency Level 3) Core: CC01 Customer Focus (Proficiency Level 3) |
What Will You Learn From SIDC’s MCMI Series?
Designed in 8 modules overall, the series will provide you with comprehensive understanding and applications in the Malaysian Capital Market as follows:
Module 1: Overview of the Malaysian Capital Market
Recommended Learning Hours:
60 minutes
Overview
Overview of the Malaysian Capital Market is the first module of the Malaysian Capital Market Insights (Dealing in Securities) programme. The module will provide participants with a concise overview of the Malaysian Capital Market.
The course comprises 6 topics:
- The Capital Market Environment, Components, Role and Importance
- Capital Market and Economics: The Relationship and Economic Indicators
- The Capital Market Participants and Intermediaries
- Capital Market Products and Services
- Understanding the Risk and Returns Relationship
- Introduction to Islamic Capital Market
Objectives
By the end of this series, you will be able to determine relevant capital market products and services to serve specific objectives considering the associated risks.
Module 2: Malaysian Capital Market Regulatory Landscape
Recommended Learning Hours:
40 minutes
Overview
This programme is designed with the aim to explore components of the Malaysian Capital Market regulatory landscape including the roles and functions of the relevant regulatory bodies in the Malaysian capital market.
The course will cover the following topics:
- Development of the Malaysian Capital Market
- The Malaysian Capital Market
- The Malaysian Stock Market
- The Malaysian Islamic Capital Market
- The Malaysian Derivatives Market
Objectives
By the end of this series, you will be able to describe the regulatory landscape of the Malaysian Capital Market and the roles and functions of the relevant regulatory bodies related to capital market activities.
Module 3: Regulatory Framework Governing the Malaysian Capital Market Regulated Activities
Recommended Learning Hours:
30 minutes
Overview
This course provides an outline of the regulatory framework governing the Malaysian Capital Market licensing framework and regulated activities. The course discusses the types of regulated activities as defined under the Capital Market Services Act 2007 (CMSA):
- Dealing in Securities
- Dealing in Derivatives
- Fund Management
- Dealing in Private Retirement Schemes
- Advising in Corporate Finance
- Investment Advice
- Financial Planning
- Clearing for Securities or Derivatives
Objectives
By the end of this series, you will be able to distinguish between capital market activities that are allowed and restricted, including limitations for the allowed activities.
Module 4: Legal Relationship Between a Capital Market Intermediary and a Client
Recommended Learning Hours:
30 minutes
Overview
This course provides a good grasp of the legal relationship between a capital market intermediary and a client.
The course will cover the following topics:
- The Relationship: Principal and Client
- Client’s Right
- Guidelines on Sales Practices for Unlisted Capital Market Products
- Marketing Ethical Conducts
Objectives
By the end of this series, you will be able to outline the obligations of licensed persons to their clients as prescribed by the rules, regulations and ethical sales best practices.
Module 5: Know Your Client and Anti Money Laundering
Recommended Learning Hours:
30 minutes
Overview
This course sets out the principles and regulatory requirements for Know Your Customer (KYC) and prevention of Money Laundering and Terrorism Financing (ML/TF).
Objectives
By the end of this series, you will be able to perform client identification and profiling to establish the risks of doing financial business with the client in accordance to the regulatory requirements and standard practices for KYC and Anti-money laundering activities.
Module 6: Market and Business Misconducts and the Offences
Recommended Learning Hours:
30 minutes
Overview
This course provides a comprehensive introduction to the prohibition of market misconduct, offences and unethical business conduct as prescribed by the capital market rules and regulations.
The course is split into the following topics:
- Prohibited conduct under CMSA 2007
- Prohibited conduct under Guidelines on Compliance Function for Fund Management Companies
- Prohibited conduct under the Code of Ethics and Rules of Professional Conduct (Federation of Investment Managers Malaysia (FIMM)
Objectives
By the end of this series, you will be able to identify and outline the rules and guidelines related to market misconducts, offences and unethical business conduct and take the necessary precautions in executing obligations to prevent market misconduct.
Module 7: Customer Service Excellence
Recommended Learning Hours:
20 minutes
Overview
The course is designed to develop participants’ skills and behaviours to offer exceptional customer experience. It provides participants with effective customer/client-facing practices and solutions to customer issues.
The course comprises 5 topics:
- Good Customer Service
- Customer Service Programmes
- Building Customer Relationships
- Presentation
- Customer Experience
Objectives
By the end of this series, you will be able to outline customer service practices that enable the delivery of product and services that meet the needs of customers (internal/external) in a professional, efficient and ethical manner to create value to stakeholders.
Module 8: Foundation for Marketing Excellence
Recommended Learning Hours:
20 minutes
Overview
The Foundation for Marketing Excellence course is designed to set out the sales and marketing processes and solutions for establishing customer requirements, analysing market trends and demands and gaining customer’s acceptance of the products or services.
The course will cover the following topics:
- Prospecting
- Questioning
- Positioning
- Active Listening
- Speaking – Elevator Pitch
- Neuro-linguistic Programming (NLP)
Objectives
By the end of this series, you will be able to learn the appropriate techniques and solutions to gain customer’s acceptance for proposed products or services.
