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Wholesale Market Conduct – Risk Assessment, Surveillance and Compliance
  • Overview
  • Objectives & Outline
  • Methodology
  • Participant Profile
  • Trainer
  • Overview
    Programme Details
    Date
    29 April 2024
    Time
    9:00 AM – 5:00 PM
    Venue
    Asian Banking School
    HRDC PROG NO
    10001254302
    This one-day programme focuses on the risk management and compliance aspects of “The Wholesale Market Conduct Practices Guidance Document” issued by Bank Negara Malaysia (BNM) on 31 December 2021. It will cover topics related to risk identification and surveillance, internal governance and controls and strengthening governance framework to mitigate risks related to misconduct. The roles of surveillance analysts to monitor and detect wholesale market abuse and misconduct (eg. setting-up an effective surveillance system) in their organisation will be analysed and discussed.
    Learning Level
    Intermediate
    Programme Fees*

    AICB MEMBER

    MYR

    1,700

    / PAX

    NON-MEMBER

    MYR

    2,000

    / PAX

    *Subject to 8% Service Tax

  • Objectives & Outline
    LEARNING OBJECTIVES
    By the end of the programme, participants will be able to:
    • Identify actions to be taken to perform market conduct risk assessment
    • Develop, manage and operate robust surveillance programmes
    • Establish strong internal control environment and risk aware culture to manage conduct risks
    PROGRAMME OUTLINE
    Risk Identification and Surveillance
    • Financial institutions should have mechanisms in place to detect and deter market misconduct. An effective surveillance programme is necessary to detect misconduct, while a strong internal control environment serves to deter or prevent misconduct.

    Market Conduct Risk Assessment

    Monitoring For and Investigating Misconduct
    • Misconduct to avoid:
      1. Wash Trading
      2. Position Parking
      3. Front Running
      4. Off-Market Rates
      5. Insider Dealing
    • Surveillance of dealers’ activities is the core pillar supporting an institution’s ability to detect market misconduct by its dealers.

    Case studies: regulatory actions on misconduct at financial institutions

    Surveillance
    • Trade Surveillance
    • Communications Surveillance

    Case study: How do financial institutions improve trade and communications
    surveillance?


    Internal Governance and Controls
    • Risk management
    • Compliance
    • Internal audit
    • Reporting of non-compliance and audit findings
    • Non-compliance by Dealers and Brokers

    Control Environment in Managing Conduct Risks
    • Governance and reporting
    • Front-Middle-Back Office controls
    • Segregation of duties
    • Handling of inside information
    • Conflicts of interest
    • The role of Compliance and Internal Audit in managing wholesale conduct risk
    • The role of culture in promoting good conduct

    Key cultural drivers of misconduct
    • The role of cultural drivers of misconduct
    • Interplay between cultural drivers of misconduct and governance frameworks
    • Lessons learned and good practices

    Strengthening Governance Frameworks to Mitigate Misconduct Risk
    • Mitigating cultural drivers of misconduct
    • Strengthening individual responsibility and accountability
    • Addressing the “rolling bad apples” phenomenon

    Case studies and discussions
  • Methodology
    Lectures, case studies, exercises and discussions
  • Participant Profile

    Compliance, risk management, audit personnel, staff who are part of the “2nd line of defence” and anyone who would like to understand Wholesale Market Conduct and how it impacts his/her job

  • Trainer

    CHEAH WEE LEONG

    Cheah Wee Leong is the Director of Investment Banking at the Asian Banking School. He has more than 25 years’ experience working in the banking industry with local and foreign banks in various roles and capacities. A seasoned professional, Wee Leong brings with him broad experience as a former banker and management consultant.

    Wee Leong started his career at Citibank in 1993 before joining US management consultancy firm Accenture in 1997. At Accenture, he was involved in managing large bank merger-integration, process re-engineering and transformation projects. He has worked in projects in various countries including Hong Kong, China, Singapore, Indonesia, Thailand, Mauritius and Saudi Arabia.

    In 2003, Wee Leong joined CIMB as its Head of Operational Risk Management and led the implementation of the bank's operational risk management and Basel 2 - Operational Risk framework. Subsequently, he assumed various senior roles in Trade Finance, Regional Transaction Banking, Corporate Banking, Treasury and Markets division and Group CEO office at CIMB. His last role at CIMB was as Director, Group Strategy. He has been designing and developing courses and conducting training regularly (covering various topics) with the Asian Banking School since 2017.
    Wee Leong holds a Bachelor of Business Administration from the USA and a Master of Business Administration (with distinction) from the Anglia Ruskin University, United Kingdom. He obtained training from Citibank Asia Pacific Banking Institute in Singapore in 1995. He is a certified Chartered Banker, Finance Accreditation Agency (FAA) Certified Training Professional and a holder of the “Certificate in Climate Risk” (awarded by the Chartered Body Alliance, UK) and PRINCE2 Foundation and Practitioner Certificate in Project Management. Wee Leong completed the “Leading the Sustainability in Transformation in Banking” programme with the Frankfurt School of Finance and Management (1 week course in Frankfurt, Germany) in October 2022.

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