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Conflict of Interest and Chinese Walls
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Conflict of Interest and Chinese Walls
  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    PROGRAMME DETAILS

    DATE

    4 – 5 July 2018

    TIME

    9:00 AM – 5:00 PM

    VENUE

    Asian Banking School
    14
    AICB
    CPD HOURS
    10
    SIDC
    CPE POINTS
    This programme examines the legal and practical issues related to conflict of interest and Chinese walls. It highlights the importance of avoiding such conflicts and how such compliance can be carried out in practice.
    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 aware of and address the issues on conflict of interest
    • Ensure that there are adequate Chinese walls between their respective investment bank’s banking and capital market activities
    PROGRAMME OUTLINE
    1. Conflict of Interest
    • Definition
    • Law and regulations relating to conflict of interest
    • How conflict of interest situations may arise in Investment Banking

    2. Chinese Walls
    • Meaning and Purpose
    • Separation of Investment Banking services and Commercial Banking:
      • International practices
      • US: Glass–Steagall Act, Gramm–Leach–Bliley Act, Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act of 2010), the Volcker Rule
      • Malaysian position – para 3.3, the Securities Commision’s Guidelines on Investment Banks

    3. Avoiding Conflict of Interest in Investment Banks
    • Malaysian laws, rules and regulations on conflict of interest; including:
      • CMSA
      • FSA and IFSA 2013
      • Rule 5.02, Bursa Malaysia Rules
      • Code of Conduct for Malaysia Wholesale Financial Markets
    • Managing conflict of interest fairly
    • Ensuring proper Chinese Wall policies and procedures are put in place
    • Cases and examples
    • Conclusion
  • Methodology
    Lectures and workshop-styled discussions and presentations
  • Participant Profile
    Employees and agents of Investment Banks
  • 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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