Advertising & Investment Advice Guidelines – What You Need to Know

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10
Jul 2025

9:00 am - 1:15 pm

Securities Commission Malaysia

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The last day to register is 7 July 2025, or earlier if all seats are fully booked. The listed price is applicable to Malaysian participants only. If you are a non-Malaysian, kindly contact us at sales@sidc.com.my for further information.
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MYR 1,620.00 (Price excluding 8% SST)

Advertising & Investment Advice Guidelines – What You Need to Know

What's the Programme About?

New Rules, New Risks: Understanding the Latest Advertising and Investment Advice Guidelines

As digital content and financial promotions continue to evolve, so too do the rules that govern them. With the release of the updated Guidelines on Advertising for Capital Market Products and Related Services (effective 1 November 2025) and the revised Guidance Note on the Provision of Investment Advice (updated 18 July 2024), it’s more important than ever to understand what’s allowed—and what could land you or your organisation in trouble.

This half-day programme breaks down what you need to know about the latest regulatory developments, including:

  • What’s changed in the new advertising guidelines—and why it matters
  • What qualifies as “investment advice” (even if you’re not a licensed adviser)
  • Key roles and responsibilities of advertisers, content creators, and intermediaries
  • How the new guidelines affect collaborations with Finfluencers and other third parties
  • Real-world enforcement examples: where others went wrong and what you can learn

Led by industry experts and regulators, this session will help you stay ahead of regulatory expectations and avoid common pitfalls. You’ll gain practical clarity on how to communicate responsibly, ethically, and within the law—whether you’re producing content, approving marketing materials, or managing third-party promotions.

Did you know that engaging in unlicensed regulated activities is an offence which is punishable under the Capital Markets and Services Act 2007 (CMSA). Any ­person found guilty may be liable to a fine not exceeding RM10mil or imprisonment not exceeding 10 years or both.. Don’t take the risk, get informed.

Whether you’re in marketing, compliance, communications, legal, or content creation, this programme will equip you with the knowledge you need to navigate the shifting regulatory landscape with confidence.

Why should you attend the programme?

This programme is designed to equip participants with a clear and practical understanding of the latest regulatory expectations governing capital market advertising and the provision of investment advice. It aims to clarify the responsibilities of capital market intermediaries, content creators, including Finfluencers and other stakeholders involved in promotional activities.

 

Participants will gain the knowledge needed to navigate the updated guidelines confidently, ensure compliance, and uphold ethical standards in their communications and collaborations.

Mode

Physical

Who should attend this programme?

Individual

Marketing Representatives, Compliance Officers, CMSRL Dealing in Investment Advice, Finfluencers, Financial Advisors, Financial Planners, Marketing Representatives, Lawyers, Corporate Consultants and Professionals undertaking corporate advisory work

Institutions 

Stockbroking Firms, Investment Banks, Financial Advisory Companies, Legal Firms, Consultancy Firms, Fund Management Companies

What will you learn from this programme?

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

  1. Recognise the key updates in the revised guidelines on advertising and investment advice, including the roles, responsibilities, and expected standards for all parties involved in capital market promotions.
  2. Describe the compliance obligations, enforcement measures, and ethical practices related to capital market advertising, with a focus on transparency, accountability, and investor protection—supported by real-world case studies.
  3. Explain the objectives and key provisions of the revised Guidance Note on Provision of Investment Advice, including the regulatory implications and consequences of non-compliance under the Capital Markets and Services Act 2007 (CMSA).

Competencies

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  • Foundational (Regulatory) – Capital Market Institutions (Proficiency Level 3)
  • Functional (Technical) – Client Advisory (Investment) (Proficiency Level 3)
  • Core – Ethics and Integrity – (Proficiency Level 3)
Time Session
9:00 AM Update: Revised Guidelines on Advertising for Capital Market Products and Related Services

(Revised: 27 March 2025), (Effective Date: 1 November 2025)

  • What is considered as advertisement?
  • Who and what are the role of advertisers?
  • Expected standards of information in an advertisement
  • Conduct requirements for advertisers and Finfluencers

Guidance Note on Provision of Investment Advice (Revised 18/07/2024)

  • Objectives of the Guidance Note in safeguarding investor’s rights and enforcement framework
  • Clarifications of what constitutes investment advice and practical examples
  • Offences and enforcement – Penalties under the Capital Market Services Act (CMSA) 2007 and implications of non-compliance

Case Studies: Insights from local and global enforcement actions, penalties, and non-compliance

10:30 AM Coffee Break
10:45 AM The Rise of Finfluencers – Opportunities, Risks and Realities

  • The evolving role of Finfluencers in shaping retail investor behaviour and market trends
  • Business models of Finfluencers and the impact of digitalisation on investment advice
  • Promoting transparency, accountability, and ethical practices in financial content
  • The role of social media platforms in promoting regulatory compliance, financial literacy, and platform accountability
1:15 PM Lunch break
*The SIDC reserves the right to amend the programme as deemed appropriate without prior notice

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