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Exploring Securities Fraud – Get the Skills You Need to Prevent and Combat It
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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
    14
    AICB
    CPD HOURS
    10
    SIDC
    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

    Chan Huan Wei, Thomas

    Thomas 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 Degree in Finance and Bachelor Degree in Marketing at University of Strathclyde, United Kingdom, where he completed a number of research papers, among them “The underpricing of IPO phenomenon in Malaysia” and “Is the Malaysian stock market efficient?”.

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