Compliance Programmes

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Compliance Matters: Ensuring Investor Protection and Integrity of the Capital Market

Dates: 3 - 4 March 2017
Venue: Securities Commission Malaysia


This programme is designed to address the fundamentals of compliance and emphasises the need and urgency of strengthening the compliance culture through improvement of mindset, character and infrastructure.

Who Should Attend

  • New entrants to the capital market industry, especially new Compliance Officers and candidates preparing for the Module 11 Licensing Examination.
  • Those interested in learning more about compliance

  • Programme Delivery

    Programme Objectives

    This is an introductory programme for new compliance officers, focusing on those who want to be more effective in discharging their responsibilities and who are willing to invest to equip themselves with the skills of regulatory compliance and risk. In addition, the programme attempts to raise awareness about the value-add elements of the compliance function. 
     

    Learning Outcomes

    By the end of this programme, participants will be able to:
    • describe the fundamentals of compliance
    • explain the principles of compliance
    • elaborate on the role, function, responsibilities and duties of Compliance Officers
    • describe the compliance programme
    • describe the interaction of roles and responsibilities which create a compliance culture
    • explain the costs and benefits of compliance
    • describe the concept of risk management
    • relate knowledge about risk to workplace activities in terms of assessment and management
    • explain the structural framework of capital market regulation and compliance
    • describe the various exchange guidelines for compliance and best business practice
     

    Methodology

    This programme will be delivered by well experienced trainers in their field, using effective learning methods which include presentations, discussions, and case studies
  • Programme Outline

    DAY ONE

    0830am Registration
    0900am FUNDAMENTALS OF COMPLIANCE
    • The Concept of Compliance
    • Compliance and Control Functions
    • The Compliance Culture
    • Importance of Compliance
    1045am Refreshments
    1100am ROLES AND RESPONSIBILITIES
    • Directors
    • Management
    • Internal Audit Department and Audit Committee
    • Risk Management and Risk Management Committee

    COMPLIANCE OFFICERS

    • Compliance Officer
    • Role of the Compliance Officer in Relation to the Rules and Regulations of the Regulators
    • Role of the Compliance Officer in Relation to Money Laundering and Terrorism Financing
    • Complaints from Clients
    • Compliance Independence
    • The Compliance Officer’s Relationship with the Firm and Regulators
    • Compliance Reporting 
    0100pm Lunch
    0200pm ESTABLISHING AND MONITORING COMPLIANCE
    • Developing a Comprehensive Compliance Programme
    • Effective Compliance Infrastructure
    • Dealing with Conflicts of Interests 
    0345pm Refreshments
    0400pm ESTABLISHING AND MONITORING COMPLIANCE (cont.)
    • Reporting Line and Audit Trail
    • Review of Compliance Programme
    0500pm Debrief of Session and Key Take-Aways
    0530pm End of Day 1

    DAY TWO

    0830am Registration
    0900am RISK MANAGEMENT
    • Introduction to Risk Management
    • Risk Management in a Fiduciary Relationship
    • Risk Management Infrastructure
    • Tools for Risk Management
    • Ethics of Risk Management
    1045am Refreshments
    1100am COSTS AND BENEFITS OF COMPLIANCE AND CASE STUDIES
    • The Costs of Compliance
    • The Benefits of Compliance ‚Äč
    STRUCTURAL FRAMEWORK AND PRINCIPLES OF CAPITAL MARKET REGULATION
    • Framework
    • Principles of Regulations
    • Single Licensing Framework for the Capital Markets
    0100pm Lunch
    0200pm GUIDELINES FOR COMPLIANCE
    • Guidelines for Compliance Officers  
    • Guidelines for Futures Brokers
    • Guidelines on Compliance Function for Fund Management Companies
    • Guidelines on Unit Trust Funds
    0345pm Refreshments
    0400pm

    GUIDELINES FOR COMPLIANCE

    Best Business Practices –

    • Guidelines on Market Conduct and Business Practices for Stockbrokers and Licensed Representatives
    • Guidelines on Prevention of Money Laundering and Terrorism Financing for Capital Market Intermediaries
    • Rules of Bursa Malaysia Securities Berhad (Chapter 5)
    • Bursa Malaysia Securities Berhad Participating Organisations’ Directives and Guidance Rules of Bursa Malaysia Derivatives Berhad (Rule 600) 
    0500pm Debrief of Session and Key Take-Aways
    0530pm End of Day 2
  • Programme Fees

    RM 1200 + 6% GST = RM 1272