search

I WOULD LIKE TO

WE
Why Ethical Breakdown Should Not Be Ignored
SHARE
Why Ethical Breakdown Should Not Be Ignored
  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    PROGRAMME DETAILS

    DATE

    28 February 2018

    TIME

    9:00 AM – 5:00 PM

    VENUE

    Asian Banking School

    SIDC CPE

    10

    CPE Points
    Big scandals like Lehman Brothers, Wells Fargo, Deutsche Bank and bad practices locally have adversely impacted our financial institutions, whether they were due to less effective management, cracks in the internal process system or innovative modus operandi. 

    This programme aims to provide a timely focus on issues and raise awareness of what the do’s and don’ts in dealing with sales of financial products and services are. This will greatly enhance the risk management effort by having all levels of the operation chain be informed of what the expectations from stakeholders, regulators and clients are. By enhancing their knowledge, awareness and reinforcing that in policy and procedures, it will create a positive professional image of the organisation. It also helps to minimise the risk of potential weaknesses in the system that can be very costly to salvage if it happens.
    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
    Upon completion of this program, participants will be able to:
    • Enhance their understanding of functions of various enforcement agencies in Malaysia 
    • Enhance their understanding of the financial institutions’ eco system and regulatory framework 
    • Enhance their understanding of regulated activities by the Capital Market Services Act (CMSA) 
    • Enhance their knowledge and skills to determine what the mandatory requirements are, and best practices that employees of financial institutions especially licensed dealers and brokers must be aware of in conducting daily business activities 
    • Enhance their understanding of corporate governance (CG) that contribute towards a strong internal control system, and operating framework for sustainable growth and performance
    PROGRAMME OUTLINE
    Overview of CG Code, CMSA, SC Guidelines with regards to Risk-Based Approach (RBA) & Money Laundering framework.
    • Regulated activities by different enforcement agencies in Malaysia 
    • Overview of CMSA and key principles of Corporate Governance 
    • Risk-Based Approach (RBA) & Anti Money Laundering Framework under CMSA 
    • What are the red flags on possible violations?

      Past cases will be used to illustrate and reinforce learning points to help participants better understand the issues and regulations 

    Market Conduct - Ethics Vs Abuses
    • Rules and regulations - CMSA Part V 
    • Defense and exception under the CMSA 
    • Enforcement power in the CMSA

      Past publicly available cases will be used to illustrate key learning points 

    Types of Market Abuses - Beware
    • This section aims to highlight dealing practices that are not permitted under the CMSA 
    • The common modus operandi and critical issues 
    • Common techniques and mindset that requires vigilant monitoring

      Past publicly available cases will be used to illustrate key learning points 

    Safeguarding Investors and Organisations
    • Key principles for the Malaysian Code for Institutional Investors  
    • Customer risk assessment, know your client 
    • Due diligence & extended due diligence 
    • Key highlights when performing risk related activities 

    Other relevant sanctions & compliance matters
    • Fiduciary duties of directors, management and employees under the Companies Act 2016 
    • Corporate liabilities 
    • Anti-bribery and corruption
  • Methodology
    The programme will be delivered using slides, live demo of some latest technologies and video presentations. The learning experience will be enhanced further with discussion involving active interactions and sharing of experiences. Examples will be used to illustrate applications and take away lessons so that participants can understand and relate the learning within a real-life business environment.
  • Participant Profile
    • Licensees and employees of financial institutions 
    • Capital market licensees and employees 
    • Financial Analysts & Corporate Advisors 
    • Professionals who are involved in Governance, Risk, Compliance and Ethics 
    • Professionals involved in Business Development and Strategy-related activities 
    • Investors in the areas that include Business Angels, Venture Capital, Private Equity, and Family Offices 
  • Trainer

    Aida Lim Abdullah

    Aida Lim Abdullah has more than 25 years of experience in organizations and institutions ranging from audit firms, financial institutions, GLCs to regulators. She has in-depth financial and capital market experience in various roles including audit, banking, treasury, corporate finance, merger and acquisition, corporate reporting and investment analysis.

    She has held managerial positions in banks like CIMB Bank Bhd (formerly, Bank of Commerce Bhd), several public listed companies and conglomerates like UEM World Bhd (formerly, Renong Bhd). Notable work experience includes leading teams for international M&A and Infrastructure deals in Malaysia, China, Hong Kong, Brazil and the U.S.

    Aida then went on to take up a regulatory role in Bursa Malaysia Bhd from 1999 to 2012. Her key functions included regulating conduct of public listed companies and its management, promoting corporate governance as well as active involvement in regulatory operational matters, the drafting of policies / listing requirements and capital market guidelines. She was team leader in several regulatory departments such as Financial Review and Compliance, Investigation and Enforcement, Listing Compliance, and Corporate Surveillance and Governance. After that, she was at the Securities Commission Malaysia for 3 years in Investor Affairs, Chairman’s department; leading the team to study, analyse and derive solutions for capital market development issues.
    She is Founder of Corporate Streets Sdn Bhd, a company that aims to provide value-add services to business entities with practical solutions ranging from regulatory compliance, financial market and capital market knowledge to innovative solutions like digital solutions, record management and financial review.

    Aida is a Certified Financial Planner (US) and Certified System Investigator (Singapore), and holds a BA (Hons) in Accounting & Finance - Major in Law (London), Diploma (Edu) in Teaching Learning Disorders Management and Child Psychology (UK), Diploma in Counselling, and Diploma in Language Development (Singapore).

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