CMDP: Module 3 Risk Oversight and Compliance – Action Plan for Board of Directors

Capital Market Director Programme

24
Feb 2022

10:00 am - 11:30 am

SIDC LAMS

Speakers : Nizam Ismail

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 3 Risk Oversight and Compliance – Action Plan for Board of Directors

CPD*

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

Learning Hours

1.5 hours (including Pre & Post Assessments)

Outline

  • Role of the board of directors in building and sustaining an effective ethics and compliance framework that aims to meet the directors’ fiduciary duties
  • The board’s role in managing conflicts of interest situations, including:
    – Connected/related party transaction;
    – Insider information;
    – Liquidity and risk management; and
    – Customer complaints and dispute resolution.
  • What happens when there is compliance failure? How to prevent compliance failure?
    – Best practices in compliance for capital market intermediaries; including monitoring compliance as an important part of directors’ oversight responsibilities;
    – Board’s rights and obligations to demand the right information;
    – Relationship between compliance and internal audit function and the impact on board’s functions; and
    – Case studies – Compliance functions and activities

Learning Outcomes

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

  • Review a framework that identifies, assesses and manages key strategic and operational risks associated with the conduct of licensed intermediaries;
  • Explain the importance of risk oversight, ethical and compliance programmes and the consequences of failures in such programmes; and
  • Discuss how to exercise judgement appropriately in dealing with issues of risk oversight and compliance brought to the board’s attention.

Competencies

Core
Risk Management (Proficiency Level 4)
Foundational (Regulatory)
Capital Market Intermediaries (Proficiency Level 4)
Behavioural (Organisational Leadership)
Strategic Thinking (Proficiency Level 4)

Target Audience

Individual 

Newly appointed directors and directors of CMSL holders

 


Nizam Ismail

 

 

Nizam Ismail is CEO and Founder of Ethikom Consultancy, a compliance-focused business consultancy, which works with financial institutions and FinTech firms globally.

He was formerly a Partner and Head of Financial Services in a law firm, and Co-Founder of a compliance consultancy in Southeast Asia.

Nizam draws upon his previous regulatory experience as Head of the Market Conduct Policy Division of the Monetary Authority of Singapore, his compliance background as Head of Compliance for Southeast Asia at Lehman Brothers and Morgan Stanley, and his legal background as Deputy Public Prosecutor/State Counsel at the Commercial Affairs Department and Senior Legal Counsel at Citigroup, to assist global financial institutions, FinTech firms and corporate clients with various regulatory compliance issues.

Nizam is also a Fellow at the Singapore University of Social Studies. He is also Chairman of the Regulatory and Compliance Sub-Committee of the Blockchain Association of Singapore.

Nizam is recognised as a thought leader in the regulatory compliance space and speaks regularly at international events and webinars.

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