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  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainers
  • Overview
    PROGRAMME DETAILS
    DATE
    15 – 16 August 2017
    TIME
    9:00 am – 5:00 pm
    VENUE
    Asian Banking School
    SIDC CPE
    10
    CPE Points
    This programme aims to provide participants with an understanding of the roles and responsibilities of licensed intermediaries and other representatives, and the regulations governing the business activities and market practices in the Malaysian capital market. Recent major market misconduct cases will be discussed and lessons to be learned will be identified. The programme will cover the relevant statutory framework and enforcement process for market misconducts by the relevant authorities.
    LEARNING LEVEL
    Foundation
    Programme Fee*
    AICB / MIBA member
    MYR
    2,200
    / PAX
    Non-member
    MYR
    2,700
    / PAX
    *inclusive of GST
    Jointly with:
  • Objectives & Outline
    LEARNING OBJECTIVES
    Upon completion of the programme, participants will be able to:

    • Outline the structure and regulatory framework of the capital market
    • Describe the provisions of the market regulations that are relevant to their work
    • Identify the various forms of market misconducts and their impacts
    • Cite examples of market misconducts and the regulatory or civil consequences
    • Develop and implement practical measures to avoid market misconducts

    PROGRAMME OUTLINE
    1. Overview of the Malaysian Capital Markets

      • The Malaysian Stock Market
      • Participants and Intermediaries in the Malaysian Stock Market

        Case study: Past cases of unlicensed activities


    2. Rules and regulations on market misconducts
       
      • Relevant provisions of the Capital Market and Services Act
      • Business Rules of Bursa Malaysia Securities
      • Business Rules of Bursa Malaysia Derivatives and other rules and regulation


    3. Market abuses and market misconducts

      • What are market misconducts?
      • Impact of market misconducts
      • Common forms of market misconducts
        –   insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure of false or misleading information inducing transactions, stock market manipulation, use of fraudulent or deceptive devices in transactions in securities and false representations


    4. Securities offences

      • Trading in Securities: Prohibited Conduct Under the CMSA
      • Other Offences Relating to Dealing
      • Other Offences Relating to False and Misleading Statements


    5. Rules on conducts and business practices of market intermediaries

      • The guidelines on market conduct and business practices for stockbroking companies and licensed representatives
      • Roles of representatives of stockbroking companies
      • Core principles of supervision
      • Compliance requirements
        – Customer due diligence, information on customers, discretionary trades, unauthorised use of customers’ accounts, handling error trades, managing conflict of interest and reporting breaches


    6. Preventing market abuses and misconducts

      • Enforcement power of the Securities Commission and Stock Exchange regulators
      • Penalties and civil liability for breaches

        Case study – criminal and civil proceedings on market misconducts


    7. Exploring cases of market misconducts

      • Analysis and discussion on misconducts in domestic markets
      • Analysis and discussion on misconducts in foreign markets
  • Methodology
    Lectures and interactive discussions
  • Participant Profile
    Investment bankers in various disciplines
  • Trainers
    Wong Loke Lim
    Wong Loke Lim has almost thirty years of banking and finance-related experience. He is the principal of i-Biz Concept Sdn Bhd, a financial training and management resources provider. He is also a director of a Bursa Malaysia-listed company and sits on the Board of Governors of the Financial Planning Association of Malaysia, where he was the Deputy President from 2011-2013. Previously, he was the Chief Executive/Licensed Representative of a fund management company, a general manager at KAF Investment Bank Berhad and the Group Chief Internal Auditor of a KLSE (now Bursa Malaysia)-listed company. He speaks regularly on topics relating to capital market, treasury, accounting and wealth management, and conducted training programmes for capital market professionals, private bankers and wealth managers in various financial centres in the Asia-Pacific region. He is a chartered accountant, a fellow of the Association of Chartered Certified Accountants and a Certified Financial Planner.
    Chan Huan Wei
    Chan Huan Wei is a training consultant with i-Biz Concept Sdn Bhd and has been conducting training for more than fifteen years, specialising in a broad range of financial areas. His background is in investment management, financial planning, corporate finance and relationship management. He is a speaker for various capital market courses including the Securities Commission’s licensing examination preparatory courses and continuous professional education (CPE) courses as well as the Certified Financial Planner (CFP) certification programmes. He has spent more than a decade in the financial services industry working within major financial institutions, fund management companies and insurance companies. He is a Certified Financial Planner and previously, held a Capital Market Services Representative Licence for fund management. He studied for his Master’s Degree in Finance and Bachelor’s Degree in Marketing at University of Strathclyde, United Kingdom.
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