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

Capital Market Director Programme

22
Feb 2022

10:00 am - 11:30 am

SIDC LAMS

Speakers : Lok Eng Hong

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

 

Lok Eng Hong

Regional Head, Retail Brokerage Business and Regional Head, Dealing at Maybank Investment Banking Group (“Maybank IBG”)

 

Mr. Lok is the Regional Head, Retail Brokerage Business and Regional Head, Dealing at Maybank Investment Banking Group (“Maybank IBG”). He leads the Maybank IBG regional retail brokerage business and has an oversight on the stockbroking’s dealing activities which stretches across Malaysia, Singapore, Thailand, Indonesia, Philippines, Vietnam, and Hong Kong. Mr. Lok also engages regional regulators on capital market development initiatives.

He is the Chairman of the stockbroking committee of Malaysian Investment Banking Association (“MIBA”). He leads industry discussions on stockbroking and capital markets.

He graduated from the Pennsylvania State University, USA in 1994. He has 26 years of experience in capital markets. He has attended senior executive programs at INSEAD in France and Singapore, Tsinghua University in Beijing, as well as the Iclif leadership & governance program.

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