eFamiliarisation Programme For Trading Representatives I (eFPTRI) – 27 Nov

Laws & Regulations

27
Nov 2020

eFPTR I Learning Programme + Assessment

10:00 am - 11:30 am

SIDC LAMS

MYR 550 *Fee is not inclusive of 6% SST

The eFPTR1 is a self-directed online learning programme offered via the SIDC Learning Management System (SIDC eLearn) platform comprising of 11 modules. It is designed as a learning tutorial covering the knowledge and skills relevant for Trading Representative (TRs) (as defined in the Licensing Handbook) to carry out their duties competently and in compliance with prevailing laws and regulations. The broad spectrum of e-learning tutorials will provide a comprehensive understanding of the Malaysian securities market for Trading Representatives (TRs) working with Participating Organisations (POs) to carry out their duties effectively and in compliance with the law.

Upon completion of this learning programme in accordance to the recommended learning hours, participants will be better prepared to undertake the FPTR1 Assessment.

Programme Objective

The programme aims to assist the participants towards becoming competent Trading Representatives in delivering their professional services to their clients by facilitating the acquisition of knowledge, understanding and abilities of the prescribed learning outcomes and learning areas covered in the Programme Outline.

Learning Outcomes

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

  • Describe the general overview of the Malaysian securities markets and its main participants
  • Explain the regulatory structure of the securities industry in Malaysia
  • Explain the main laws and regulations governing the operation of the securities industry in Malaysia
  • Illustrate the relationship between the stockbroking company, licensed representative, trading representatives and clients
  • Describe the activities and current trends connected to money laundering and terrorism financing and the Malaysian regulatory approach towards them
  • Outline the licensing requirements and obligations of person(s) who carries (carry) on the business of dealing in securities and their representatives
  • Define various securities offences and description of how they are regulated
  • Describe the operations of the stock market in Malaysia
  • Recognize the uses of financial statements and its significance in financial and investment analysis
  • Identify essential elements of financial statements which are used in carrying fundamental analysis
  • Explain the features, characteristics and risk associated to various capital market products.

Competencies

  • FOR01 Anti-Money Laundering
  • FOR02 Capital Market Institutions
  • FOR03 Capital Market Intermediaries
  • FOP02 Capital Market Fundamentals
  • FOP03 Capital Market Products
  • FUT05 Fundamental Analysis
  • FUP16 Securities Trading
  • FUP18 Settlement of Securities Trades

All at proficiency level 2

Target Audience

Designed for those who intend to be to be registered as a Trading Representative (TR) pursuant to the Licensing Handbook.

eFPTR 1 Learning Programme [Recommended Learning Hours: 5.5]
Module 01: Introduction to the Securities Market
Module 02: Regulatory Framework of the Securities Market
Module 03: Relationship between Participating Organisations, CMSRLs, Trading Participants and Clients
Module 04:
  • Guidelines on Prevention of Money Laundering and Terrorism Financing (ML/TF) for Capital Market Intermediaries
  • Protection of Clients’ Information
Module 05: Negligent Misstatement
Module 06: Licensing Handbook
Module 07: Types of Securities Offences
Module 08: Trading on Bursa Malaysia
Module 09: Introduction to Financial Statement Analysis
Module 10: Elements of Financial Statements
Module 11: Introduction to Capital Market Products and Services
(Features, Characteristics and Risk)
Evaluation Knowledge Check

This assessment is designed to test a candidate’s knowledge and understanding of the   Malaysian securities markets. It is the assessment to be passed by individuals who intend to be registered as a Trading Representative (TRs) to act on behalf of a Participating Organisation (PO).

Candidates are advised to refer to the Licensing Handbook for detailed requirements to become a Trading Representative.

Candidates are expected to possess good knowledge and understanding of the subject matter provided in this programme outline and the specified references. It is estimated that this module will require a minimum of 80 hours of self-study time (including 5.5 hours recommended learning hours to complete the 11 modules in the eFPTR 1 Learning Programme or attend the FPTR1 Revision Programme). Candidates may need less or more learning depending on their education background and work experience and will be given at least two (2) months access to the eFPTR1 Learning Programme.

Candidates are expected to update themselves with the latest developments in this assessment as all questions will be continuously updated to reflect these changes. Candidates are permitted to refer their own prescribed reference materials during the assessment. Note that no prescribed reference materials will be provided by the Securities Industry Development Corporation (SIDC).

The prescribed reference materials brought into the assessment by candidates are subject to the terms and conditions of SIDC, details of which are set out in the terms and conditions of the FPTR1.

The prescribed reference materials brought into the assessment by candidates are subjected to the registration terms and conditions. The prescribed reference materials for this module and Assessment Structure can be viewed HERE

Candidates are required to comply with the registration terms and conditions of the SIDC on the conduct of the assessment. Severe penalties will be taken against candidates for any misconduct during the examination.

Assessment Syllabus 

The syllabus for this assessment is divided into 11 modules which can be viewed HERE

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