SC Guidelines on Submission of Corporate and Capital Market Product Proposals

Laws & Regulations

01
Apr 2021

2:30 pm - 4:00 pm

SIDC LAMS

Speakers : Roshan Kanesan (Moderator) | Azman Ahmad | Tan Wei Han

5 CPE

MYR 350 *Fee is not inclusive of 6% SST

SC Guidelines on Submission of Corporate and Capital Market Product Proposals

The Guidelines on Submission of Corporate and Capital Market Product Proposals (new Guidelines) have been introduced to reinforce shared responsibilities among the key stakeholders involved in the submission of proposals to the Securities Commission Malaysia (SC).  The new Guidelines set out the conduct requirements for the Submitting Party and other parties involved in the submission of proposals to the SC, such as the applicant/issuer and its directors and promoters, as well as advisers appointed to provide advice or opinion on the proposal.

With the new Guidelines coming into effect, a new Recognised Principal Advisor (RPA) Framework and Qualified Person (QP) and Senior Officer (SO) regime was introduced to liberalise the industry and to empower the corporate finance adviser to select its QP from a wider talent pool of qualified corporate finance professional. The new Guidelines together with introduction of Chapter 7A to the Licensing Handbook, identifies the Submitting Party and sets out the eligibility requirements to be a principal adviser (PA) and an RPA, for the submission of proposals and specific proposals to the SC.

Programme Objective

This programme provides an overview and insights into the new Guidelines , the new RPA Framework and GP& SO regime and the key changes introduced in the new regime through the new Guidelines and Chapter 7A of the Licensing Handbook.

Mode

Live Webinar

Target Audience

Individual 

Corporate Consultants, Capital Markets Services Representative’s License Holders, Professionals undertaking corporate advisory work, Head of Compliance, Head of Legal

Institutions 

Public Listed Companies (PLCs), Legal Firms, Consultancy Firms, Accounting Firms, Fund Management Companies, Stockbroking Firms, Investment Banks

Learning Outcomes

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

  • Explain the rationale of SC Guidelines on Submission of Corporate and Capital Market Product Proposals
  • Determine key changes and introduction to Chapter 7A (Licensing Handbook)
  • Discuss the differences of each of the guidelines and its impact
  • Examine the obligations and expectations of the submitting party

2.30 pm – 4.00 pm SC Guidelines on Submission of Corporate and Capital Market Product Proposals

  • Rationale of the guidelines
  • Key changes and introduction to Chapter 7A (Licensing Handbook)
  • Eligibility requirements set out in the new Guidelines and Licensing Handbook
  • Differences between the new Guidelines framework and the Licensing Handbook requirements in comparison  to the Principal Adviser Guidelines and Due Diligence Guidelines
  • Obligations and  expectations for a submitting Party

About the Speaker

Roshan Kanesan (Moderator)

Producer and Radio Broadcaster

Azman Ahmad

General Manager, Corporate Finance – Equities Department of Securities Commission Malaysia

Tan Wei Han

Managing Director and Head Corporate Finance, CIMB Investment Bank Berhad

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

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