SC Guidelines on Conduct for Capital Market Intermediaries for Good Business Conduct and Corporate Culture

Laws & Regulations

05
Jul 2023

10:00 am - 12:30 pm

SIDC Webinar

Speakers : Shazana Mokhtar (Moderator)| Devanesan Evanson | Maheswari Kanniah | Sharmila Sharma | Philip Tn Koh

Registration closing date is 3 business days before the programme date or when all seats are fully taken. The listed price is intended for Malaysian participants only. If you are a non-Malaysian, we kindly request you to reach out to Mr. Nor Effendi Othman at EffendiO@sidc.com.my for further information.
5 CPE

MYR 350 *Fee is not inclusive of 8% SST

SC Guidelines on Conduct for Capital Market Intermediaries for Good Business Conduct and Corporate Culture

The Securities Commission Malaysia in its Annual Report 2021 reported a total of 136 administrative sanctions involving various market misconduct and breaches such as submitting false and misleading information to SC and Bursa resulting to a penalty of RM2.87 million.

It is well noted that financial market misconduct is costly and may compromise the integrity of the market and its ecosystem. Furthermore, investors need to feel confident when participating in an investment and require trustworthy professionals.

Therefore, it is hoped that this programme will help the CMSRL holders and professionals dealing in capital market activities understand the requirements of the guidelines and its expectations and implications so as to promote proper conduct, compliance and governance within the capital market intermediaries.

Programme Objective

This programme will provide participants with an overview and insights into the latest Guidelines on Conduct for Capital Market Intermediaries with the objective to foster good business conduct and corporate culture within all capital market intermediaries.

 

Mode

Webinar

 

Target Audience

Individual 

Capital Market Representative’s Licence (CMSRL) Dealing in Securities and Derivatives, Fund Managers, Compliance Officers, Financial Planners, Wealth and Legal Advisors, Risk Management Officers, Lawyers, Internal Auditors, Governance Officers, Professionals undertaking corporate advisory work

Institutions 

Capital Market Intermediaries, Public Listed Companies (PLs), Regulatory and Supervisory Bodies

 

Learning Outcomes

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

  • Identify the rationale behind the implementation of SC Guidelines on Conduct for Capital Market Intermediaries
  • Describe the important requirements and expectations of the guidelines
  • Examine the obligations and expectations of a license person in carrying out capital market-related services
  • Discuss the recommended best practices in applying good conduct and governance within business organisations

Competencies

  1. Foundational (Regulatory) – Capital Market Intermediaries (Proficiency Level 3)
  2. Foundational (Regulatory) – Capital Market Products Regulation (Proficiency Level 3)
  3. Functional (Process) – Compliance (Proficiency Level 3)
  4. Core – Ethics and Integrity (Proficiency Level 3)
10.00 am SC Guidelines on Conduct for Capital Market Intermediaries

  • Overview and rationale of the guidelines
  • Who does it apply to?
  • Highlights on differences between Guidelines on Market Conduct and Business Practices for Stockbroking Companies vs Guidelines on Conduct for Capital Market Intermediaries
  • Key requirements of the guidelines
  • Minimum standard requirements of conduct expected from the capital market intermediaries
  • The obligations of a license person in carrying out capital market-related services
  • How the guidelines promote the building of trust and effective relationships between capital market intermediaries and clients
  • Lesson learned in identifying and managing issues of conflict of interest in capital market intermediaries
  • Recommended practices in applying good conduct and governance in business organisations

 

12.30 pm End of Programme

About the Speaker

Shazana Mokhtar (Moderator)

Radio Presenter

Devanesan Evanson

CEO, Minority Shareholders Watch Group (MSWG)

Maheswari Kanniah

Chief Regulatory and Compliance Officer, Kenanga Investment Bank

Sharmila Sharma

CEO, SIDREC

Philip Tn Koh

Senior Partner, Mah-Kamariyah & Philip Koh

+
READ MORE
*The SIDC reserves the right to amend the programme as deemed appropriate without prior notice

Recommended for you

Assessment
Securities Commission Licensing Examination (SCLE)
16
Jul 2024
Securities Commission Licensing Examination AM

10:00:00 AM - 11:30:00 AM

Online Remote Proctoring


Assessment
Securities Commission Licensing Examination (SCLE)
16
Jul 2024
Securities Commission Licensing Examination AM

10:00:00 AM - 11:30:00 AM

Online Remote Proctoring


FacebookWhatsAppLinkedInEmail
Assessment
Securities Commission Licensing Examination (SCLE)
16
Jul 2024
Securities Commission Licensing Examination PM

02:30:00 PM - 05:00:00 PM

Online Remote Proctoring


Assessment
Securities Commission Licensing Examination (SCLE)
16
Jul 2024
Securities Commission Licensing Examination PM

02:30:00 PM - 05:00:00 PM

Online Remote Proctoring


FacebookWhatsAppLinkedInEmail
Assessment
Securities Commission Licensing Examination (SCLE)
17
Jul 2024
Securities Commission Licensing Examination AM

10:00:00 AM - 11:30:00 AM

Online Remote Proctoring


Assessment
Securities Commission Licensing Examination (SCLE)
17
Jul 2024
Securities Commission Licensing Examination AM

10:00:00 AM - 11:30:00 AM

Online Remote Proctoring


FacebookWhatsAppLinkedInEmail

View SIDC Calendar

Download

View T&C
SIDC – Delivering Professional Excellence