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Legal Aspects of Customer Relationships in Financial Institutions
  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    PROGRAMME DETAILS

    DATE

    18 – 19 September 2019

    TIME

    9:00 AM – 5:00 PM

    VENUE

    Asian Banking School

    This programme provides essential knowledge and skills, boosting competence and capabilities of participants working in banks, whether in the marketing, credit or operations fields. The programme equips frontline and backroom bank and financial institutions’ officers and managers with the necessary legal and practical knowledge and skills to face today’s growing challenges and demands in banking.

    LEARNING LEVEL
    Intermediate
    PROGRAMME FEE

    AICB MEMBER

    MYR

    2,200*

    / PAX

    NON-MEMBER

    MYR

    2,700*

    / PAX

    *Subject to 6% Service Tax

  • Objectives & Outline
    LEARNING OBJECTIVES
    By the end of the programme, participants will be able to:

    • Operate effectively within the legal framework of banking and gain knowledge on the laws affecting banking including the Financial Services Act 2013 and BNM standards and guidelines.
    • Identify, assess and manage, monitor and control the risks involved and the legal principles governing the operations of bank accounts.
    • Be aware of the duties, rights and liabilities of a financial institution in respect of bank accounts; including the handling of trust accounts, deceased accounts and court orders; onboarding and exiting customers, etc.


    PROGRAMME OUTLINE
    Laws governing banking operations
    •  Legislations
    •  BNM Policies and Guidelines
    •  Importance of legal and regulatory compliance

    Banker - Customer Relationship
    • Types of Customers
    • Onboarding Customers and KYC
    • Nature of Relationship

    Special Relationships
    • Power of Attorneys and Mandates
    • Deceased Customers: Executors and Administrators
    • Trustees

    Banker's Rights and Duties
    • Rights
    • Duties (including Banking Secrecy and Permitted Disclosures)

    Customers' Rights and Duties
    • Rights
    • Duties

    Interference to the Banker - Customer Relationship
    • Court orders (garnishee orders, Mareva injunctions, freezing orders, etc)
    • How to deal with Court orders

    Termination of Banker - Customer Relationship
    • By agreement
    • By unilateral act (Exiting the Banker-Customer relationship)
    • By operation of law

    Workshop:
    • BNM Standards/Guidelines and the Financial Services Act 2013 – practical issues, case studies and examples

    Conclusion
    • Compliance
    • Business Conduct and prohibited business conduct
    • Carrying on business within the legal and regulatory framework



  • Methodology

    Pre and Post Course Tests, Lectures, Exercises, Case-studies and Discussions

  • Participant Profile
    Branch Service Operations Managers, Frontline Officers and Officers and Managers in Credit, Head Office and Branch Support Departments, Compliance, Risk Management and Audit Departments
  • Trainer

    DATIN LEE MEI PHENG

    Datin Dr Lee Mei Pheng is a senior partner, banking law consultant and practitioner at Detta Samen & Co Advocates, one of the most established law firms in Sarawak. She is an Advocate and Solicitor of the High Court in Malaya and an Advocate of the High Court in Sabah and Sarawak. She is also a Fellow of the Law Faculty at University of Malaya.

    She had previously served at OCBC Bank in Malaysia as Head of the Legal department and Assistant Vice President of the Kuching Branch in Sarawak for ten years and since 1984, been a leading consultant and lecturer for international financial institutions and large corporations. She is also a course director for Euromoney Training in Hong Kong. Her other professional contributions include being a consultant, commissioned author, editorial reviewer and specialist for LexisNexis, AICB and Oxford publications, an external assessor for business and company Law at Wawasan Open University, Penang and author of many publications.

    Datin Dr Lee holds a Doctor of Philosophy (Laws) from the University of Liverpool, England, specialising in Banking and Finance Law, with her PHD research on banking fraud. She also holds an LLB First Class Honours degree from the University of Malaya. She resides on the Gold Coast, Australia and since 2000, has been an Adjunct Associate Professor with the Faculty of Law at Bond University, Queensland, Australia. She is a Fellow of the Financial Services Institute of Australasia and Tim Fischer Centre for Global Trade and Finance, as well as a Member of the Law Advisory Board, Bond University, Australia. She is also an Associate Fellow of the Institute of Bankers, Malaysia (now known as Asian Institute of Chartered Bankers or AICB).


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