**POSTPONED** Market Misconduct In Capital Markets: Case Studies And Key Takeaways

Laws & Regulations

08
Apr 2020

8 April 2020

8:30 am - 5:00 pm

Securities Commission Malaysia

MYR 950 *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.

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.

Programme Objective
This programme will discuss in depth the severity of market misconduct, the disciplinary actions imposed and penalties meted by regulators and the key takeaways of the cases discussed.

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

  1. Demonstrate an understanding of the key areas, issues and challenges as well as the implications and how to deal with them appropriately based on the case studies which has been discussed;
  2. Recognise the laws and regulations related to market misconduct, the enforcement process, penalties and the disciplinary actions imposed by Regulators and its impact to organisations;
  3. Illustrate the duties and responsibilities of intermediaries from the perspective of regulators and deliberate on the regulator’s expectations; and
  4. Discuss measures to prevent, mitigate and deal with market misconduct and prohibited conduct.

Methodology

Interactive presentations, case studies discussions and Question-and-Answer (Q&A) sessions

Competencies

Foundational (Regulatory) – Anti-Money Laundering (Level 3)
Core – Risk Management (Level 3)
Functional (Technical Skills) – Digital Technology Application (Level 3)

Target Audience

Individual 

Compliance officers, risk management officers, audit officers, sales and trading officers, settlement officers.

Institutions 

Stockbroking firms, asset management companies, investment and commercial banks.

8.30 am Registration
9.00 am Insights of Market Misconduct Evolution

  • Market misconduct: How much has changed?
  • The tricks of the trade in market misconduct and related offences
  • The drivers of misconduct and its implications
10.45 am Coffee Break
11.00 am Market Misconduct Cases: Headlines across the Globe and Its Key Takeaways (Discussions)

  • Market misconduct cases: Insights and findings
    • Insider trading
    • Market manipulation
    • False trading
    • Price rigging
    • Disclosure of information about prohibited transactions
    • Disclosure of false or misleading information
  • Red flags and indicators
  • Enforcement process, penalties and disciplinary actions taken by regulators
  • Implications, lessons and key takeaways
1.00 pm Lunch Break
2.00 pm Market Misconduct and the Rise of Technology

  • High-tech modes of market misconduct
  • Implications and challenges faced by organisations and regulators
  • Cyber proofing the organisation ecosystems security
3.30 pm Coffee Break
3.45 pm Best Practices: Effective Measures and Controls to Prevent Market Misconduct

  • Organisation gatekeepers: Roles and responsibilities of personnel
  • Effective governance, internal control and policies: Building an effective monitoring and surveillance programme
  • Market misconduct scenarios: Challenges in dealing with them

 

5.00 pm End of Programme

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