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Avoiding Market Offences and Misconducts
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Avoiding Market Offences and Misconducts
  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    PROGRAMME DETAILS

    DATE

    6 – 7 August 2018

    TIME

    9:00 AM – 5:00 PM

    VENUE

    Asian Banking School
    14
    AICB
    CPD HOURS
    10
    SIDC
    CPE POINTS
    This programme examines the various market offences and misconducts that the investment banker is required to avoid. It also discusses the legal requirements and obligations as well as the practical techniques and strategies required to avoid the commission of such offences and misconducts.
    LEARNING LEVEL
    Intermediate
    PROGRAMME FEE

    AICB / MIBA MEMBER

    MYR

    2,200

    / PAX

    NON-MEMBER

    MYR

    2,500

    / PAX

    Jointly with:
  • Objectives & Outline
    LEARNING OBJECTIVES
    By the end of the programme, participants will be able to:
    • Be mindful of the market offences and misconducts which may be committed
    • Avoid committing such offences and misconducts within their respective investment banks
    • Detect and prevent such offences and misconducts, and attain the necessary skills to deal with such situations in event they arise
    PROGRAMME OUTLINE
    1. Relevant Laws and Regulations
    • An Overview on laws and regulators (with emphasis on the following):
      • Capital Markets and Services Act (CMSA) 2007 as amended in 2015
      • Financial Services Act (FSA) 2013 and Islamic Financial Services Act (IFSA) 2013
      • Companies Act 2016
      • Code of Conduct for Malaysia Wholesale Financial Markets
    • Cases and Recent Developments

    2. Offences under Part V, CMSA 2007
    • Prohibited conduct – securities
      • False trading and market rigging transactions – s.175
      • Stock market manipulation – s.176
      • False or misleading statements, etc – a.177
      • Fraudulently inducing persons to deal in securities – s.178
      • Use of manipulative and deceptive devices – s.179
      • Dissemination of information about illegal transactions – s.181
    • Insider Trading
      • Prohibited conduct of person in possession of inside information – s.188
    • Prohibited conduct – derivatives
      • False trading – s.202
      • Bucketing – s.203
      • Dissemination of information about false trading – s.204
      • Manipulation of price of derivative and cornering – s.205
      • Employment of devices etc to defraud – s.206
      • False or misleading statements – s.207
      • Prohibition of abuse of information obtained in official capacity – s.208
    • Penalties for Offences

    3. Offences under Financial Services Act 2013 (FSA) and Islamic Financial Services Act 2013 (IFSA)
    • Prohibited conduct under s.141 FSA and s.153 IFSA
      • Market manipulation
      • Misinformation and rumours
      • Insider dealing
    • Prohibited business conduct – s.124 and Schedule 7
    • Penalties for Offences

    4. Offences under Companies Act 2016
    • Fraudulently inducing persons to invest money – s.594
    • Penalties for offences

    5. Misconducts under Code of Conduct for Malaysia Wholesale Financial Markets
    • Prohibited Conduct under Part C, Code of Conduct for Malaysia Wholesale Financial Markets
      • Prohibited conduct under FSA and IFSA – para.10
      • Market manipulation – para.11
      • Misinformation and rumour – para 12
      • Insider dealing – para 13
    • Responsibility to preserve a reputable, ethical and honest market place under Part D, Code of Conduct for Malaysia Wholesale Financial Markets
      • Adoption of global best practices – para 16
      • Treatment of reference or fixing rate – para 17
      • Position parking – para 18
      • Offshore dealings of Ringgit products – para 19
      • Dealing at non-current rates – para 20
      • Dealing for personal account – para 21
      • Dealing quotation – para 22
      • Entertainment and gifts – para 23
      • Handling confidential information- para 25
      • Conflict of interest – para 26

    6. Dealing with Market Offences and Misconduct
    • Prevention and detection
    • Managing risks
    • Instilling legal and regulatory compliance culture and best practices within an investment bank
    • Roles and responsibilities
  • Methodology
    Lectures and workshop-styled discussions and presentations
  • Participant Profile
    Employees and agents of investment banks and commercial banks dealing with investment products and services
  • Trainer

    DATIN DR LEE MEI PHENG

    Datin Dr Lee is presently 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. Besides her continuing law practice, she is a Fellow of the Law Faculty, University of Malaya in Kuala Lumpur and had served at OCBC Bank in Malaysia as Head of their Legal department and Assistant Vice President, Kuching Branch in Sarawak for ten years. Since 1984, she has been a leading consultant and lecturer for banks and financial institutions, regulators, large corporations locally and internationally in many areas of banking and finance laws, Islamic banking and finance law, fraud, anti-money laundering and anti-terrorism financing, banking operations, credit, offshore banking, regulations and compliance. She lectures internationally and is presently a Course Director for EUROMONEY Training in Hong Kong.

    Datin Dr Lee holds a Doctor of Philosophy (Laws) from the University of Liverpool, England, specialising in Banking and Finance Law, and her PHD research was on banking fraud. She holds an LLB First Class Honours degree from the University of Malaya, and since the year 2000, has been an Adjunct Associate Professor, Faculty of Law at the Bond University, Queensland, Australia. Datin Dr Lee resides in the Gold Coast in Australia and lectures post-graduate law subjects in that country on various areas of International Banking and Electronic Banking Law subjects. She is a Fellow of the Financial Services Institute of Australasia and Tim Fischer Centre for Global Trade & Finance, as well as a Member of the Law Advisory Board, Bond University, Australia.
    She was one of the first to be awarded an Associate Fellow of the Institute of Bankers, Malaysia (now known as Asian Institute of Chartered Bankers or AICB); having served as chief examiner for law subjects since 1985 and in recognition for her vast contributions in publishing, examinations and training for AICB for more than twenty-seven years. Her many other professional contributions include being a consultant, commissioned author and editorial reviewer, and specialist for LexisNexis, AICB and Oxford publications related to Banking Law and Practice and Banking and Finance statutes, an External Assessor for Business law and Company Law, Wawasan Open University, Penang, Malaysia and author of many publications.

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