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.
Market Misconduct in Capital Markets: Case Studies and Key Takeaways
Over the years, the number of criminal prosecutions has risen in the capital market due to misconduct. In 2016 alone, the Securities Commission Malaysia (SC) has imposed a total of RM1.415 million administrative sanctions for various misconducts and breaches of securities laws.
‘Market misconduct’ as defined by regulators, includes activities such as insider trading, market manipulation, false trading, price rigging, disclosure of information about prohibited transactions and disclosure of false or misleading information. These conduct harms the interests and confidence of investors and potentially damages the reputation of the Malaysian capital market in the long run.
This one-day programme will examine interesting features and findings of major cases related to market misconducts, the enforcement process, penalties and the disciplinary actions imposed by regulators and its impact to organisations. It will also deliberate on the regulator’s expectations, the practical steps required to implement effective controls to prevent market misconduct and the key takeaways of the cases discussed.