search

I WOULD LIKE TO

ES
Exploring Securities Fraud – Get the Skills You Need to Prevent and Combat It
SHARE
Exploring Securities Fraud – Get the Skills You Need to Prevent and Combat It
  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    PROGRAMME DETAILS

    DATE

    4 – 5 April 2018

    TIME

    9:00 AM – 5:00 PM

    VENUE

    Asian Banking School

    SIDC CPE

    10

    CPE Points
    The relevant regulatory authorities are cracking down on investment fraud while the massive influx of individual investors to the securities market has made it easier for fraudsters to manipulate the system to their advantage. Intermediaries and investors can be caught in the middle. This programme aims to assist participants in gaining knowledge on how securities frauds are committed and why it is happening.
    LEARNING LEVEL
    Intermediate
    PROGRAMME FEE*

    AICB / MIBA MEMBER

    MYR

    2,200

    / PAX

    NON-MEMBER

    MYR

    2,500

    / PAX

    *inclusive of GST
    Jointly with:
  • Objectives & Outline
    LEARNING OBJECTIVES
    By the end of the programme, participants will be able to:
    • Identify relevant regulations
    • Recognise red flags and risks to clients, the advisor and the firm
    • Cite examples of misconduct and the regulatory or civil consequences
    • Develop and implement practical defensive measures (before and after red flags have been raised)
    • Build the knowledge to balance theory anregulation with robust real stories and cases from the ‘front lines’ of dealing with fraud

    PROGRAMME OUTLINE
    SECURITIES FRAUD – HOW IT´S DONE AND WHO GETS BLAMED
    • Untangling the Briars of Securities Fraud Lingo 
    • Common Methods of Shareholder Fraud  
      • Overstating assets, overstating revenues, understating costs, understating liabilities, inflating restructuring costs, laddering, channel stuffing and fraud in M&A transactions
    • Common Methods of Investment Fraud  
      • Common scenarios of insider trading, pump-and-dump, off-shore trading fraud, foreign investor fraud, overstating returns and understating risks, backdating, cherry picking and promissory note fraud
    • Common Methods of Securities Trading Fraud 
      • False trading, market rigging, stock market manipulation and unlicensed dealers/representatives
    • Professionals at Risk of Becoming Defendants  
      • Brokers-Dealers, Financial Advisors or Analysts, Corporate Executives (CEOs, CFOs), Corporate Accountants, Accounting Firms and Private Investors
    • Investment Products and People Most Vulnerable to Fraud 

      Case study: Past cases of securities fraud

    PREVENTION TECHNIQUES AND WARNING SIGNS
    • Disclosure Rules and Challenges for Companies and Financial Intermediaries  
    • Who is responsible for compliance in the organization?  
    • What activities are most likely to reveal foul play?  
    • Navigating the Minotaur Maze of Financial Data – Know What to Look For  
    • Minimising Insider Trading Risks  
    • Reviewing Investment Documents – What to Look For  

    SECURITIES FRAUD ACTIONS
    • Securities Commission’s Administrative Action
    • Civil Actions
    • Criminal Prosecution
    • Private Civil Action for Damages
    • AML Regulations

      Case study: Actions taken by regulators in relation to securities fraud

    ETHICS – PREVENT BECOMING A DEFENDANT
    • Confidentiality vs. Reporting Requirements
    • What would you do in these situations? – Case Studies
    • Internal investigations
    • Waiving privileges
  • Methodology
    Lecture, discussion and case studies. Participants are encouraged to bring a calculator.
  • Participant Profile
    • Commercial and investment bankers
    • Financial executives
    • Accountants and auditors
    • Compliance officers
    • HR, Operations and IT executives
    • Members of corporate M&A, Corporate Finance and Strategy functions
  • Trainer

    Wong Loke Lim

    Wong Loke Lim has almost 30 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 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 markets, 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.

REGISTER NOW
Please complete the following form to register with us. Alternatively, you can email us here or call us at +603 2742 7822 if you have any questions.
PAYMENT PROCESS

1

Please download the Payment Form for our Banking details and if making company sponsored payments

2

Upload your Payment Form/Receipt and submit with your online registration

3

You will receive a confirmation email upon successful registration
I'm Applying For
Programme Details
Select Programme
Please select a time slot.
FULL NAME
(as per NRIC/Passport) *
New NRIC No/Passport No*
Nationality*
Email*
Contact No*
Job Title/ Designation*
Department*
Company Name*
Mailing Address*
City*
Postcode*
Country*
AICB Membership No
(If Applicable)
Special Remarks
(IF APPLICABLE, PLEASE FILL IN YOUR FMAM (PPKM) MEMBERSHIP NUMBER HERE)
Upload Payment Receipt or Form*
*Required fields
Captcha validation failed.
Thank you for your submission. You should receive an automated email shortly at the email address provided if your submission had gone through successfully. If you do not receive the email, please contact us at +603-2742 7822 or email training@asianbankingschool.com
There are currently no upcoming Programme slots.
Please email us here or call us at +603 2742 7822 if you want to check on future slots.

Copyright © Asian Banking School (ABS). All rights reserved.

 CONNECT WITH US

Ooops!
Generic Popup