Module 2A: Business Challenges And Regulatory Expectations

Past Programmes

12
Mar 2019

2:00 pm - 5:30 pm

Securities Commission Malaysia

Module 2A: Business Challenges And Regulatory Expectations

 

Scope of Coverage

  1. Nature of the relevant business (stockbroking, investment banking and futures broking), including its shifting trends and regulatory and competitive changes
  2. Overview of the expected competencies to understand the nature, conduct and performance of the relevant business
  3. Challenges in the operations, systems and procedures to meet the expectations laid out in the applicable SC Guidelines with particular reference to the following areas of:
  4. Customer due diligence;
  5. Insider and/or price sensitive information;
  6. Real or perceived conflicts of interest situations;
  7. Market misconduct, including front running and scalping;
  8. Compliance function and compliance officers;
  9. Breaches of securities laws, rules and regulations;
  10. AML/CFT framework;
  11. Bursa Malaysia’s approach to ensuring fair and orderly market.

Learning Outcomes

At the end of the programme, participants will be able to:

  1. Identify and discuss the nature, challenges and opportunities in the relevant business (stockbroking, investment banking and futures broking);
  2. Evaluate the relevant provisions in the applicable guidelines that directors of licensed intermediaries need to be cognizant of;
  3. Assess the challenges facing directors of relevant business (stockbroking, investment banking and futures broking) in overseeing the application of and conformance with the applicable guidelines;
  4. Exercise judgement appropriately in dealing with issues of business challenges and regulatory expectations brought to the attention of the board.

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