**POSTPONED**Compliance Insights: Embracing the Digital Transformation

Laws & Regulations

15
Oct 2020

15 October 2020

8:30 am - 5:00 pm

Securities Commission Malaysia

MYR 1100 *Fee is not inclusive of 6% SST

KINDLY TAKE NOTE THAT THIS EVENT HAS BEEN POSTPONED FOLLOWING THE RECENT OUTBREAK OF COVID-19. 

STAY TUNED FOR DETAILS OF NEW DATE AND VENUE.

Recent technological advancements and changes in the regulatory landscape has resulted in disruptive strategies, different business models, new markets and demanding customer expectations. Similarly, the compliance profession today has evolved and is under pressure to do more to provide greater assurance in order to protect the organisation and enhance its long-term values.

As the pace of change continues to accelerate, it is critical for organisations to facilitate the innovation in compliance function through digital transformation. Acquiring the right blend of people with the right fit in view of the emerging technologies is crucial.

This programme will discuss the evolving role of compliance professionals and their functions from the regulatory perspective. It will also uncover how digital transformation innovates the compliance function and redefine the skills, knowledge levels and roles of compliance officers. These, in turn will contribute towards an effective compliance culture which will strengthen the organisation’s trust as well as market reputation.

Programme Objective
This programme aims to provide insights into compliance officers’ new roles facilitated by technological innovation in carrying out their duties and responsibilities.

Learning Outcomes

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

  • describe the duties and responsibilities of a compliance officer with the evolution of the compliance function from the regulatory perspective
  • discuss the future of compliance officers’ roles following the emergence of technology- assisted tools that changed the way compliance is managed
  • explain how technology redefine the skills, knowledge levels and roles of compliance officers and the reestablishment of the compliance function
  • recognise best practices in compliance function that leads to an effective compliance practices, hence strengthen the organisational trust and market reputation.

Competencies

Functional (Process Skills) – Compliance (Level 3)
Functional (Technical Skills) – Digital Technology Application (Level 3)
Foundational (Product) – Capital Market Environment (Level 3)

Target Audience

Individual 

Compliance officers, dealers’ representatives, trading representatives, risk management officers, fund managers, analysts, employees of public and non-public listed companies and employees

Institutions 

Public Listed Companies (PLCs), legal firms, accounting firms, fund management companies, stockbroking firms,investment banks, risk management companies, solution providers, insurance companies, telecommunication companies, airline and telco companies

8.30 am Registration
9.00 am Compliance on the Forefront

  • Anti-Money Laundering Counter Financing of Terrorism/ Proliferation Financing (AMLCFT/PF) regulatory requirements
  • Safeguarding investors’ interests
  • Monitoring and surveillance
  • Technology aspect in compliance
  • Compliance and ethics from the regulatory perspective

This session will look into the roles of compliance officers and the evolution of compliance functions from the regulatory perspective which has evolved from reactive and box ticking to forward-looking and proactive approach

10.30 am Coffee Break
10.45 am Innovation in Compliance

  • Evolution of the compliance function and its ecosystem
  • Tools and technologies
    o Power of data, analytics and artificial intelligence
    o Cloud computing and blockchain
    o Forensic technology
    o New emerging technologies
  • Compliance technology as a value centre
  • RegTech: Transforming compliance into competitive advantage
12.30 pm Lunch Break
2.00 pm  

Rethinking the Role of Compliance Officers

  • Getting ready for tomorrow’s compliance
  • Diverse talents and non-traditional partnership
  • Outsourced compliance-as-a-service solutions
  • Future-proofing the compliance professionals

This session will discuss how technology redefine the skills, knowledge levels and new roles of compliance officers as well as the reestablishment of the compliance functions.

3.30 pm Coffee Break
3.45 pm Outlook: The Future of Compliance

  • The outlook of compliance and future challenges
  • Building a strong compliance culture within the organisation
  • Safeguarding cultural compliance with trends and data

This session looks upon the future outlook of the compliance functions and future challenges it faces. It will also discuss best practices in promoting effective compliance culture and ethical business practices to strengthen the organisational trust and market reputation.

4.30 pm Q&A session
5.00 pm End of Programme

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