CMDP: Module 1 Directors as Gatekeepers of Market Participants

Capital Market Director Programme

14
Nov 2022

10:00 am - 12:30 pm

SIDC LAMS

Speakers : Lee Shih | Salleh Hassan

Registration closing date is 3 business days before the programme date or when all seats are fully taken.
5 CPE
CPD*

MYR 1500 *Fee is not inclusive of 6% SST

CMDP: Module 1 Directors as Gatekeepers of Market Participants

CPD*

*SIDC CPE points are recognised by FIMM, AICB and MIA

Learning Hours

2.5 hours (including Pre & Post Assessments)

Session 1

Board Fundamental and Core Duties

  • Core duties of directors – fiduciary duty, duty of care, skill and diligence and other legal and regulatory expectations as specified by the extant laws.
  •  Discussion of recent selected enforcement cases.

Learning Outcomes

  • Explain the high-level contextual function of the board and the directors in discharging their mandates;
  • Appraise the roles, duties, responsibilities and liabilities of directors as provided for in applicable laws relevant to licensed intermediaries;

Speaker: Lee Shih

Session 2

Board and the Malaysian Code on Corporate Governance

  • Discussion on how application of selected principles and recommendations of MCCG can deliver sustainable values for licensed intermediaries.
  • Strengthening the composition of the board by having sufficient representation of non-executive directors of right competencies and skills to ensure independent oversight;
  • Effective risk oversight through sound and adequate risk management and internal controls systems.
  • Independent directors as value enhancers or value destroyers.
  • Failure of governance and the implication on licence to operate.

Learning Outcomes

  • Describe on how to apply the relevant key principles and recommendations of the Malaysian Code on Corporate Governance to oversee the compliance and performance roles of licensed intermediaries;
  • Explain the critical functions played by independent directors in building confidence and trust for licensed intermediaries; and
  • Discuss how judgement can be exercised appropriately in dealing with legal and governance issues brought to the attention of the board.

Speaker: Salleh Hassan

Competencies

Core
Corporate Governance (Proficiency Level 4)
Core
Ethics & Integrity (Proficiency Level 4)
Foundational (Regulatory)
Capital Market Institutions (Proficiency Level 4)

Target Audience

Individual 

Newly appointed directors and directors of CMSL holders

 

 

Lee Shih
Partner, Lim Chee Wee Partnership

 

Lee Shih regularly acts in corporate disputes, cross-border disputes and international arbitrations. His work focuses on commercial and corporate litigation, fraud and asset recovery, and insolvency matters. He is the sole Malaysian member of ICC FraudNet, an international network of independent lawyers who are the leading civil asset recovery specialists in each country.

Chambers Asia-Pacific 2019 described him as “very dynamic, charismatic and sharp” and Legal 500 Asia-Pacific 2019 stated that “deeply knowledgeable international arbitration and insolvency specialist Lee Shih ‘never fails to deliver high-quality advice in his trade mark disarming fashion’.”

He graduated from the University of Bristol, England with a LLB (Hons) degree. He was admitted as a Barrister-at-Law (Gray’s Inn) and is an Advocate & Solicitor of the High Court of Malaya.

He is the co-author of ‘Companies Act 2016: The New Dynamics of Company Law in Malaysia’ and also authored the chapter on Companies & Securities for Bullen & Leake & Jacob’s Malaysian Precedents of Pleadings.

 

 

 

Salleh Hassan
Director/Head, Professional Standards & Qualifications of Securities Industry Development Corporation (SIDC)

 

Salleh Hassan brings with him years of experience in corporate governance and professional education.

Salleh is currently the Director of Professional Standards & Qualifications with the Securities Industry Development Corporation. He oversees the initiatives and activities that lead towards strengthening the competency and capacity of professionals in the Malaysian capital market via the industry-wide competency framework (ICF), certification and qualification. As the subject matter expert on corporate governance, Salleh also leads in the development of curriculum, courses and industry insights initiatives. He was involved in a project to develop the ASEAN Corporate Governance Scorecard and thereafter, had been an assessor of the Malaysian, Philippines and Vietnamese listed companies against the Scorecard. He has also served as an Associate and as a member of the adjudication committee for the corporate governance award by the Minority Shareholders Watchdog Group (MSWG).

Salleh is a committee member of the Corporate Integrity System Malaysia initiative, a member of the National Advisory Group for the Business Integrity Country Agenda (BICA) study by Transparency International (TI-Malaysia), a member of the judging panel of the Malaysian Sustainability Reporting Award (MaSRA) organised by the Association of Chartered Certified Accountants (ACCA), and a member of the International Integrated Reporting Council Training Advisory Group.

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