SCLE Revision: Stock Market and Securities Law (Module 6)

Laws & Regulations

12
Feb 2022

12 Feb - 13 Feb 2022

9:00 am - 6:00 pm

SIDC LAMS

Speakers : Wong Loke Lim

Registration closing date is 3 business days before the programme date or when all seats are fully taken.
HRD Corp
Claimable

MYR 1250 *Fee is not inclusive of 6% SST

HRDC-Claimable
HRDC-TrainingProvider

HRD Corp Registered Course/Programme No.: 10001152223

Module 6: Stock Market and Securities Law

Programme Overview

This programme equips participants with comprehensive understanding and knowledge based on Module 6 Study Outline. Participants will advance their knowledge and comprehension further via interactive teaching and learning experience while increasing their confidence in sitting for the examination. This programme will be facilitated by an experienced and qualified trainer.

 

Programme Objective

This programme is designed to match the licensing study outline for Module 6 on stock market and securities law. It covers the securities industry with specific focus on the Malaysian market, regulatory structure and its governing laws, duty and standard care of dealing in securities, various offences and stock market operations.

 

Learning Outcomes

Upon completion of this programme, participants should be able to:

  1. Recognise the securities industry and its significance to the Malaysian economy
  2. Outline the regulatory structure of the securities industry in Malaysia
  3. Identify the main laws and regulations governing the operation of the securities industry in Malaysia
  4. Describe the activities and current trends connected to money laundering and terrorism financing and the Malaysian regulatory approach towards them
  5. Distinguish the relationship between the stockbroking company and its client
  6. Explain the duty and standard of care applicable to person(s) who carries (carry) on the business of dealing in securities
  7. Describe the licensing requirements of person(s) who carries (carry) on the business of dealing in securities and their representatives
  8. Discuss the various securities offences and describe how they are regulated
  9. Explain the operations of the stock market in Malaysia

Candidates’ Prerequisites

Candidates are expected to possess good knowledge and understanding of the subject matter provided in the study outline and specified references. It is estimated that the SCLE Module 6 will require a minimum of 80 hours of study time. The amount of study hours needed depends on the education background and work experience of the candidates. Candidates are also expected to update themselves with the latest changes relevant to the module as all questions will be continuously updated.

 

Methodology

This programme will be delivered using effective learning methods including presentations, discussions and review of examination questions.

PROGRAMME – DAY ONE

9.00 am Overview of the Malaysian Stock Markets

  • Securities
  • The Malaysian Stock Market
  • Participants and Intermediaries in the Malaysian Stock Market
  • Development and Impact of Technology on Securities Trading

Regulation of the Securities Industry

  • Overview of the Law
  • Regulatory Bodies in Malaysia

Business Structures

  • Range of Business Structures
  • Companies
  • A Company’s Constitution
  • General Management and Administration
  • Administration and Management of a Participating Organisation
11.00 am Break
11.30 am Capital Raising on the Primary Market

  • Primary Issues of Ordinary Shares
  • Post Listing Requirements
  • Securities Issues in the Secondary Market
  • Debt Securities and Derivative Product
  • Structured Products
  • Bursa Malaysia Securities Berhad Main Market Listing Requirements
  • Bursa Malaysia Securities Berhad ACE Market Listing Requirements
  • Bursa Malaysia Securities Berhad LEAP Market Listing Requirements
1.00 pm Lunch Break
2.00 pm Capital Raising on the Primary Market (Continue)

  • Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework
    • Section A: General Requirements
    • Section B: Part 2: Structured Products
    • Lodgement Kit: Unlisted Capital Market Products under the Lodge and Launch Framework

Trading on the Secondary Market

  • The Trading System
  • Rules of Bursa Malaysia Securities Berhad on Trading
  • Bursa Malaysia Securities Berhad Participating Organisations’ Trading Manual
  • Guidelines on Prevention of Money Laundering and Terrorism Financing for Reporting Institutions in the Capital Market
    • Part I: Introduction and Applicability
    • Part 1A: AML/CFT Compliance Programmes and Obligations of Board of Directors, Senior Management and Compliance Officer
    • Part II: Risk-Based Approach Application
    • Part III: Customer Due Diligence (CDD)
    • Part IIIA: Wire Transfer
    • Part IV: Retention of Records
    • Part V: Suspicious Transactions
    • Part VI: Enforcement Orders
    • Part VII: Combating Terrorism Financing
3.30 pm Break
4.00 pm Trading on the Secondary Market (Continue)

  • Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives: Part I, II & III

Clearing, Delivery, Settlement and Corporate Actions

  • Clearing
  • Delivery and Settlement
  • Corporate Actions
  • Other Matters
6.00 pm End of Day One

PROGRAMME – DAY TWO

9.00 am Law of Contract

  • What is the Law of Contract?
  • Essential Elements of a Contract
  • Contracts entered into on Bursa Malaysia Securities Berhad
10.30 am Break
11.00 am Relationship between Stockbroking Company and Client

  • Stockbroking Company and Client
  • Rules Governing the Stockbroking Company and Client Relationship
  • Buying Securities on the Market
  • Direct Business Transaction (DBT)
  • Participating Organisation’s Duties to Clients’
  • Participating Organisation’s Rights
  • Client’s Rights
  • Keeping of Records

Negligent Misstatement

  • Essential Elements of the Tort of Negligent Misstatement
  • Statutory Liability
1.00 pm Lunch Break
2.00 pm Licensing

  • Licensing Framework

Securities Offences

  • Trading in Securities: Prohibited Conduct Under the CMSA
  • Other Offences Relating to Dealing
  • Other Offences Relating to False and Misleading Statements
  • Other Offences
3.30 pm Break
4.00 pm Take-overs

  • Introduction of Take-Overs
  • General Principles and Rules on Take-Overs and Mergers
  • Types of Take-Over Offers
  • Processes and Procedures of Take-Over Offers
  • Roles and Responsibilities of a Capital Markets Services Representative’s Licence (CMSRL) Holder
  • Penalties for contravention of the Code
6.00 pm End of Programme

About the Speaker

Wong Loke Lim

Founder and Director of i-Biz Concept Sdn Bhd

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