CMDP: Module 2A Business Challenges and Regulatory Expectations – What Directors Need to Know (Equities & Futures Broking)

Capital Market Director Programme

15
Nov 2022

10:00 am - 11:30 am

SIDC LAMS

Speakers : Fok Chuan Meng

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 2A Business Challenges and Regulatory Expectations – What Directors Need to Know (Equities & Futures Broking)

CPD*

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

Learning Hours

1.5 hours (including Pre & Post Assessments)

Session 1

  • Nature of the relevant business (stockbroking, investment banking and futures broking), including its shifting trends and regulatory and competitive changes
  • Overview of the expected competencies to understand the nature, conduct and performance of the relevant business, including
    – Duties to clients;
    – Types of risks associated with the relevant business;
    – Performance benchmarking and evaluation
  • Challenges in the operations, systems and procedures in terms of minimum requirements and best practices to meet the expectations laid out in the applicable SC Guidelines with particular reference to the following areas of:
    – Customer due diligence;
    – Insider and/or price sensitive information;
    – Real or perceived conflicts of interest situations;
    – Market misconduct, including front running and scalping;
    – Compliance function and compliance officers;
    – Breaches of securities laws, rules and regulations;
    – AML/CFT framework;
    – Bursa Malaysia’s approach to ensuring fair and orderly market intermediaries.

Learning Outcomes

Upon completion of this programme, participants will be able to:

  • Discuss the nature, challenges and opportunities in the relevant business (stockbroking, investment banking and futures broking);
  • Evaluate the relevant provisions in the applicable guidelines that directors of licensed intermediaries need to be cognizant of;
  • Assess the challenges facing directors of relevant business (stockbroking, investment banking and futures broking) in overseeing the application of and conformance with the applicable guidelines;
  • Discuss the appropriate judgement exercise in dealing with issues of business challenges and regulatory expectations brought to the board’s attention.

Competencies

Core
Risk Management (Proficiency Level 4)
Foundational (Regulatory)
Capital Market Intermediaries (Proficiency Level 4)
Foundational (Regulatory)
Capital Market Products Regulations (Proficiency Level 4)

Target Audience

Individual 

Newly appointed directors and directors of CMSL holders

 

Fok Chuan Meng

Executive Director, Dealing, Malacca Securities Sdn Bhd (MSSB)

 

Fok Chuan Meng is currently the Director of Malacca Securities Sdn Bhd (MSSB). He joined the stockbroking industry in 1997. He has many years of experience as Head of Operations and Head of Dealing.

He oversees and supervise retail dealing functions, proprietary trading and discretionary trading businesses. Well experienced in the capital market industry which includes operations, marketing, compliance, risk management, product development, liaison with authorities, financial planning. Mr Fok has held various managerial roles in accounting, manufacturing, trading and education services before financial services.

An active committee member of Association of Stockbrokers Malaysia (ASCM) since 2019 and was part of Bursa’s audit committee member for listed main board from 2009 to 2014. A charted member of the Malaysian Institute of Accountants and a Certified Financial Planner and a Non-Executive Director of licensed Financial Planning company.

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