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

Capital Market Director Programme

25
Aug 2022

10:00 am - 11:30 am

SIDC LAMS

Speakers : Vijayam Nadarajah

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

 

 

Vijayam Nadarajah

 

Mrs. Vijayam Nadarajah comes with 25 years of experience in internal audit, restructuring finance functions, change management, risk management, business process reengineering and corporate governance. She is a guest faculty member at the Malaysian Directors Academy training directors on board and corporate governance and risk management and audit committees. She speaks and moderates sessions for conferences as well.

She has written articles on HR Governance for HR Matters magazine (now called the Accelerator) and real life case study on board governance failures in Public Listed Companies. Vijayam is very passionate about strong corporate and internal audit practices and continues to contribute in these fields to the financial services sector and through stakeholder supported organisations such as Bank Negara Malaysia and Securities Commission via training and writing standards on learning and development. Vijayam held many senior and public positions such as President of Institute of Internal Auditors Malaysia (IIAM), financial controller and others.

She is a Fellow member of IIAM, CPA Australia and Chartered Accountant with Malaysian Institute of Accountants. She holds Bachelor in Economics and MBA from Monash University, Australia and LLB, London University.

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