This course equips participants with comprehensive understanding and knowledge based on the Module 6 Study Outline. Participants will advance their knowledge and comprehension further via an interactive teaching and learning experience while increasing their confidence in sitting for the examination. This course will be facilitated by an experienced and qualified trainer.
This 2½ -day course 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 Malaysian market, regulatory structure and its governing laws, duty and standard care of dealing in securities, various offences and stock market operations.
- Candidates preparing for the Module 6 SC Licensing Examination
- New entrants to the capital market industry and staff of investment banks
Candidates are expected to have good knowledge, understanding and ability to apply in the following areas:
- The securities industry and its significance to the Malaysian economy
- The regulatory structure of the securities industry in Malaysia
- The main laws and regulations governing the operation of the securities industry in Malaysia
- The activities and current trends connected to money laundering and terrorism financing and the Malaysian regulatory approach towards them
- The relationship between the stockbroking company and its client
- The duty and standard of care applicable to person(s) who carries (carry) on the business of dealing in securities
- The licensing requirements of person(s) who carries (carry) on the business of dealing in securities and their representatives
- The various securities offences and describe how they are regulated
- The operations of the stock market in Malaysia
It is estimated that this module will require a minimum of 80 hours of study time. Candidates are expected to have relatively strong capability in the application and analysis of information provided in this outline and its reference. 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 this module as all questions will be continuously updated to reflect these changes.
This course will be delivered using effective learning methods which include presentations, discussions and review examination questions.
|Overview of the Malaysian Stock Markets
Regulation of the Securities Industry
|Capital Raising on the Primary Market
Trading on the Secondary Market
|Trading on the Secondary Market (cont)
|Clearing, Delivery, Settlement and Corporate Actions
|End of Day 1
|Law of Contract
|Relationship between Stockbroking Company and Client
|End of Day 2
|Revision and Feedback Session on Set of Questions
|End of Programme