About the Speaker
Thomas Chan
Training Consultant, i-Biz Concept Sdn Bhd
10
Apr 2021
9:00 am - 6:00 pm
SIDC LAMS
Speakers : Thomas Chan
Programme Objective
This course equips participants with comprehensive understanding and knowledge based on their good understanding from Module 9 study outline. Participants expected to 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.
Programme Overview
This 13 hours webinar conducted over 2 days is designed to match the
licensing study outline for Module 9 on funds management regulation. It covers the comprehensive introduction to fund management, regulatory structure, fund management industries, licensing requirements, compliance and corporate governance relating fund management.
Who Should Attend
- Candidates preparing for the Module 9 Licensing Examination
- New entrants to the capital market industry and staff of investment banks
Learning Outcomes
Candidates are expected to have good knowledge, understanding and ability to apply in the following areas:
- The fund management industry and describe its significance to the Malaysian economy
- Regulatory structure of the funds management industry in Malaysia
- Laws, regulations and guidelines governing the operation of the funds management industry in Malaysia
- Relationship between a fund management company and its client
- Duty and standard of care applicable to a fund management company
- Licensing requirements of fund management companies and their representatives
- Various securities offences and how they are regulated
- Purpose of an Investment Management Agreement and Investment Mandate
- Compliance and explain its significance to a fund management company
- Corporate governance and other issues affecting a fund management company
Candidates’ Prerequisites
It is estimated that this module will require a minimum of 120 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.
Methodology
This course will be delivered using effective learning methods which include presentations, discussions and review examination questions.
PROGRAMME – DAY 1
| 9.00 am | The Fund Management Industry in Malaysia
Laws and Organisations Regulating the Fund Management Industry
|
| 10.30 am | Break |
| 11.00 am | The Law of Contract
|
| 12.30 pm | Lunch Break |
| 1.30 pm | Negligent Misstatement
Relationship between Fund Management Company and Client
|
| 3.30 pm | Break |
| 4.00 pm | Conduct of a Fund Management Company’s Business
The Licensing Handbook
|
| 6.00 pm | End of Day 1 |
PROGRAMME – DAY 2
| 9.00 am | Securities Offences
Compliance
Topical Issues in Funds Management Regulation
|
| 10.30 am | Break |
| 11.00 am | Related Guidelines for Fund Management Regulation
|
| 1.00 pm | Lunch Break |
| 2.00 pm | Related Guidelines for Fund Management Regulation (cont’)
|
| 3.30 pm | Break |
| 4.00 pm | Related Guidelines for Fund Management Regulation (cont’)
|
| 6.00 pm | End of Day 2 |
Recommended for you
Certification
Certification
18
Apr 2024
Certified Capital Market Professional Dealing in Derivatives for Dealers Representative
10:00 am - 11:00 am
Online Remote Proctoring
Certification
Certification
18
Apr 2024
Certified Capital Market Professional Dealing in Derivatives for Dealers Representative
10:00 am - 11:00 am
Online Remote Proctoring
MYR 550
Assessment
Securities Commission Licensing Examination (SCLE)
23
Apr 2024
Securities Commission Licensing Examination AM
10:00:00 AM - 11:30:00 AM
Online Remote Proctoring
Assessment
Securities Commission Licensing Examination (SCLE)
23
Apr 2024
Securities Commission Licensing Examination AM
10:00:00 AM - 11:30:00 AM
Online Remote Proctoring
