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Market Manipulation and Securities Fraud
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Market Manipulation and Securities Fraud
  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    PROGRAMME DETAILS

    DATE

    16 October 2019

    TIME

    9:00 AM – 5:00 PM

    VENUE

    Asian Banking School
    8
    AICB
    CPD HOURS
    10
    SIDC
    CPE POINTS

    This programme equips participants with the skills and knowledge in assessing and managing cases related to securities offences.

    LEARNING LEVEL
    Intermediate
    PROGRAMME FEE

    AICB / MIBA MEMBER

    MYR

    1,500*

    / PAX

    NON-MEMBER

    MYR

    1,700*

    / PAX

    *Subject to 6% Service Tax

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

    • Demonstrate potential market manipulation and engage in preventive measures to mitigate trading losses
    • Identify red flags in securities-related fraud and securities offences
    • Recommend compliance procedures to prevent risks of market manipulation and securities offences

    PROGRAMME OUTLINE
    Market Manipulation
    • Map out the various types of market manipulation: Pools, Churning, Stock Bashing, Pump and Dump, Runs, Ramping (the market), Wash Trade and Bear Raid
    • Identify pump-and-dump modus operandi and the various versions of this fraud

    Securities Fraud (I)
    • Map the various types of securities fraud: corporate fraud, corporate misconduct, dummy corporations, internet fraud, insider trading, accountant fraud, boiler rooms, mutual fund fraud and Ponzi schemes

    Application of Securities Fraud: Financial Reporting Related
    • Identity and detect the five key types of financial statement frauds
    • Perform multivariate analysis to detect potentially fraudulent financial statements

    Securities Fraud (II)
    • Overview of pre-IPO and IPO related fraud cases
    • Undertake a case study on an IPO-related fraud
  • Methodology
    Instructor-led workshops
  • Participant Profile

    Capital markets participants: dealers, relationship managers, fund managers and compliance personnel

  • Trainer

    David Meow (MBA (UK), CFA, FRM, ACMA, CA(M), CFP)

    David has more than 20 years of experience in areas that include business valuation, financial markets and risks, and financial reporting. His exposure in diverse areas in the capital markets as well as being a Chartered Financial Analyst (CFA) holder and qualified Chartered Accountant (Malaysia), allows him to offer training and consultancy services in specialised areas that include investment management and company valuation.

    He has provided training and consultancy services to government-related bodies including Bank Negara Malaysia, Permodalan Nasional Berhad, Securities Commission Malaysia, Kumpulan Wang Simpanan Pekerja, Jabatan Perdana Menteri, as well as financial institutions. David is currently working on several development projects and programmes associated with the Securities Commission and Permodalan Nasional Berhad. He is also
    the Lead Moderator for the Capital Markets with the Financial Accreditation Agency.


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