21
Sep 2024
21 Sep - 22 Sep 2024
9:00 am - 6:00 pm
Webinar
Registration closing date is 3 business days before the programme date or when all seats are fully taken. 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.
Programme Overview
Advisory Services (Rules & Regulations) is a 2-day programme designed to provide insights into the rules and regulations governing advisory services in the Malaysian capital market. It will deliberate on the principles and relevant issues of contract law, related guidelines pertaining to equities, private debt securities and structured products.
Programme Objective
This programme is designed as a refresher course for CMSRLs or ERPs who would like to refresh themselves in advisory services (rules & regulations). Apart from this, the programme also serves to support those preparing to sit for the Securities Commission Licensing Examination (SCLE) Module 19 on Advisory Services (Rules & Regulations). It’s highly recommended that participants put in a minimum of 200 self-study hours using study aids such as SCLE Module 19 e-guide, practice set questions, reading list and latest market updates for maximum benefit and reinforced learning.
Learning Outcomes
Upon completion of this programme, participants should be able to:
- Outline the principles of contract law and relevant issues
- Describe the laws relevant to the advisory services in the Malaysian capital market
- Explain the system and procedures of licensing of persons who carry on the investment advisory business in Malaysia
- Describe the features and prohibitions of investment advisory activities
- Describe the regulations governing the issue and offer of equity securities, listing of corporations and quotations of securities on the Main Market of Bursa Malaysia Securities Berhad (Bursa Securities) (Main Market) and proposals which result in significant change in the business direction or policy of corporations listed on the Main Market under the Securities Commission Malaysia’s Equity Guidelines
- Explain the regulations, setting out who can act as principal advisers for the submission of corporate proposals and the competency standards required
- Describe the regulations governing the conduct of due diligence for corporate proposals by issuers, advisers and experts
- Describe the activities and current trends connected to money laundering and terrorism financing and the Malaysian regulatory approach towards them
- Explain the characteristics and regulations governing take-overs in Malaysia
- Explain the regulations governing valuations of property assets in conjunction with corporate proposals for submission to the Securities Commission Malaysia or for inclusion in prospectuses and circulars
- Identify the regulations governing the issuance and registration of prospectuses
- Describe the regulations governing the issue, subscription, purchase, invitation to subscribe or purchase private debt securities or Sukuk to retail investors
- Describe the regulations that must be observed for the purpose of exclusively making available unlisted capital market products to sophisticated investors in Malaysia or persons outside Malaysia
- Explain the regulations governing the issuers of structured warrants
- Discuss the regulations governing listing of securities under Bursa Securities Main Market Listing Requirements, Bursa Malaysia Securities Berhad ACE Market Listing Requirements and Bursa Malaysia Securities Berhad LEAP Market Listing Requirement
Programme Methodology
This programme will be delivered using effective learning methods including presentations, discussions and Q&A.
Target Audience
Capital Markets Services Representative’s License (CMSRL) holder and Employee of Registered Person (ERP) who would like to refresh themselves in Advisory Services (Rules and Regulations).
Competencies
 |
|
PROGRAMME – DAY ONE
| 9.00 am | Legal Considerations and Code of Conduct
Negligent Misstatement
|
| 10.30 am | Break |
| 10.45 am | Licensing of Persons Who Carry on the Business of Investment Advice, Advising on Corporate Finance and Their Representatives
Prohibited Conduct and Insider Trading
Guidelines on Prevention of Money Laundering and Terrorism Financing for Reporting Institutions in the Capital Market
Guidelines on Implementation of Targeted Financial Sanctions Relating to Proliferation Financing for Capital Market Intermediaries
|
| 1.00 pm | Lunch Break |
| 2.00 pm | Guidelines Related to Advisory Services and Its Applications
1. Equity Guidelines
2. Guidelines on Submission of Corporate and Capital Market Product Proposals
|
| 3.30 pm | Break |
| 3.45 pm | Guidelines Related to Advisory Services and Its Applications (con’t)
3. Prospectus Guidelines
|
| 6.00 pm | End of Day One |
PROGRAMME – DAY TWO
| 9.00 am | Guidelines Related to Advisory Services and Its Applications (con’t)
4. Malaysian Code on Take-Overs and Mergers 2016
5. Rules on Take-Overs, Mergers and Compulsory Acquisition
6. Asset Valuation Guidelines
|
| 10.30 am | Break |
| 10.40 am | Guidelines Related to Advisory Services and Its Applications (con’t)
7. Guidelines on Issuance of Corporate Bonds and Sukuk to Retail Investors
8. Guidelines on Unlisted Capital Market Products Under the Lodge and Launch Framework
9. Lodgement Kit: Unlisted Capital Market Products Under the Lodge and Launch Framework
|
| 1.00 pm | Lunch Break |
| 2.00 pm | Guidelines Related to Advisory Services and Its Applications (con’t)
10. Guidelines on Islamic Capital Market Products and Services
11. Guidelines on Issuers Eligibility – Structured Warrants
12. Guidelines on Conduct for Capital Market Intermediaries
13. Guidance Note on Provision of Investment Advice
|
| 3.30 pm | Break |
| 3.45 pm | Bursa Malaysia Securities Berhad Main Market Listing Requirements
Bursa Malaysia Securities Berhad ACE Market Listing Requirements
Bursa Malaysia Securities Berhad LEAP Market Listing Requirements
|
| 6.00 pm | End of Programme |
Recommended for you
Certification
Certification
09
May 2024
Certified Capital Market Professional Dealing in Derivatives for Dealers Representative
10:00 am - 11:00 am
Online Remote Proctoring
Certification
Certification
09
May 2024
Certified Capital Market Professional Dealing in Derivatives for Dealers Representative
10:00 am - 11:00 am
Online Remote Proctoring
MYR 550
Assessment
Securities Commission Licensing Examination (SCLE)
14
May 2024
Securities Commission Licensing Examination AM
10:00:00 AM - 11:30:00 AM
Online Remote Proctoring
Assessment
Securities Commission Licensing Examination (SCLE)
14
May 2024
Securities Commission Licensing Examination AM
10:00:00 AM - 11:30:00 AM
Online Remote Proctoring
