Familiarisation Programme for Marketing Representatives (FPMR)

Jan 2019

8:30 am - 5:00 pm

Securities Commission Malaysia

Speakers : THOMAS CHAN

Familiarisation Programme for Marketing Representatives (FPMR)

This two-day programme is designed as a learning and assessment programme that covers the knowledge and skills areas relevant for Marketing Representatives (as defined under the Guidelines for Marketing Representatives) (MR) to carry out their duties competently and in compliance with the law.

The programme provides a broad yet comprehensive introduction to the capital market in Malaysia, the overview of the regulatory framework, regulations, capital market products and services and the techniques and skills applicable to MR in marketing capital market products and closing the deal with prospective clients.

The 45 minutes assessment will be conducted at the end of the 2nd day of the programme to gauge participants’ knowledge, understanding and application of the areas covered in the programme.

Who Should Attend
Please refer to the Guidelines for Marketing Representatives for entry requirements

Programme Delivery

Programme Objective
The programme aims to assist the participants towards becoming competent Marketing Representatives in delivering their professional services to their clients by facilitating the acquisition of knowledge, understanding and abilities of the prescribed learning areas covered in the Programme Outline.

Learning Outcomes
Upon completing the programme, the participant should be able to:

Identify the importance of fundamental of economics to the capital market environment/activities;
Outline the regulatory framework of the Malaysian capital market industry;
Describe the organisation and structure of the relevant regulatory bodies and its roles and functions of regulatory bodies responsible for the various capital market laws and regulations;
Identify laws and regulations applicable to the Malaysian capital market;
Define the roles and functions of intermediaries in the capital market industries and the rules and regulations applicable to capital market intermediaries;
Describe the types of products and services, the activities that are regulated and permitted by the relevant laws and regulations in the capital market;
Recognise the offences related to market misconduct and prohibited conducts;
Elaborate on the requirements for reporting institutions to comply with as imposed under the Securities Commission Malaysia’s Guidelines on Prevention of Money Laundering, Terrorism Financing and Proceeds of Unlawful Activities for Capital Market Intermediaries;
Apply the procedures to conduct customer due diligence and techniques to detect clients’ unusual behaviour;
Explain risk-based approach application, record-keeping, suspicious transactions and confidentiality of reporting;
Recognise the importance of effective communication in establishing customer relationships;
Demonstrate the relevant marketing techniques products and services;
Identify prospect’s needs through effective questioning in uncovering prospective clients’ objectives;and
Discover the essential knowledge and skills required to present, convince and close the deal with prospective clients.

Programme Outline

Day 1

8.30 am	Registration
9.00 am	Introduction of the Malaysian Capital Market The Capital Market Environment, Components, Role and Importance The Relationship between the Capital Market and Economics The Capital Market Participants and Intermediaries Capital Market Products and Services Types and Characteristics of Capital Market Products and Services Understanding the Risks and Returns Trade-Off Introduction to Islamic Capital Market Principles and Concepts – Fiqh Al Muamalat and Shariah principles/ concept
10.45 am	Coffee Break
11.00 am	Overview of the Malaysian Capital Market Regulatory Landscape Development of the Malaysian Capital Market The Malaysian Capital Market The Malaysian Stock Market Overview, Bursa Securities and the Clearing House Participants in Stock Market The Malaysian Islamic Capital Market ICM Legal and Regulatory Framework SC, Bursa, Shariah Advisory Council, Labuan International Financial Exchange Roles of Shariah Advisors The Malaysian Derivatives Market Overview, Bursa Derivatives and the Clearing House Participants in the Derivatives Market The Laws and Regulations Governing Malaysian Capital Market Regulated Activities Dealing Securities Definitions, roles and functions Overview of the Law and the Regulatory Bodies in Malaysia Dealing in derivatives Definitions, roles and functions Overview of Derivatives Industry Regulation Clearing activities in Derivatives Fund Management Definitions, roles and functions Fund Management Industry in Malaysia and Its Significance Providers of Fund Management Services and Support Services Providers Fund Structures in Malaysia Laws and Organisations Regulating the Fund Management Industry Other Relevant Laws and Regulations Organisations Regulating the Fund Management Industry Private Retirement Scheme Definitions, roles and functions Introduction to the PRS Industry PRS Provider Regulatory Framework Private Retirement Scheme Distributor and Consultant
1.00 pm	Lunch Break
2.00 pm	The Laws and Regulations Governing Malaysian Capital Market Regulated Activities (cont) Financial Planning Definitions, roles and functions Introduction to Financial Planning, Nature and Scope of Financial Planning in Malaysia Regulatory framework for financial planning industry Laws and Regulations in relation to Financial Planning Advising on Corporate Finance Definitions, roles and functions Introduction to Corporate Finance and Investment Advisory, Nature and Scope of Corporate Finance and Investment Advisory in Malaysia Regulatory framework for Corporate Finance and Investment Advisory industry Laws and Regulations in relation to Corporate Finance and Investment Advisory Capital Raising in the Capital Market Primary issues of ordinary shares Post-listing requirements Securities issues in the Secondary Market Types of Corporate Actions Section 212 of the CMSA 2007, SC’s Equity Guidelines and Prospectus Guidelines, Bursa Malaysia Listing Requirement Investment Advice Definitions, roles and functions Introduction to Investment Advice Nature and Scope Investment Advice in Malaysia Regulatory framework Investment Advice industry Laws and Regulations in relation to Investment Advice
3.45 pm	Coffee Break
4.00 pm	Guidelines on Marketing Representatives Introduction Registration by Principal Permitted Activities and Obligations of a Marketing Representative Requirements for Registration Entry Requirements Duties of the Principal Fit and proper criteria for applicants to be registered as a Marketing Representative
5.00 pm	End of Day 1

Day 2

8.30 am	Registration
9.00 am	Relationship between MRs and Clients Rules Governing the Relationship between MRs and Clients MRs’ Duty to Clients MRs’ Right and Obligations Clients’ Rights and Dispute Resolutions Sales Practice Guidelines Sales and Marketing Ethical Conduct
10.15 am	Coffee Break
10.30 am	Know Your Client (KYC), Anti-Money Laundering and Terrorism Financing Laws and Regulations Definitions and General Description of Money Laundering Securities Commission Malaysia’s Guidelines on Prevention of Money Laundering, Terrorism Financing and Proceeds of Unlawful Activities for Capital Market Intermediaries Customer Due Diligence and Know Your Clients (KYC) Procedures Risk-Based Approach Application Obligation on Protection of Clients’ Information and Common Abuses of Confidentiality
11.30 pm	Market Misconducts, Offences and Unethical Business Conduct Trading in Securities: Prohibited Conduct Under the CMSA Prohibited Conduct – Securities, Derivatives, Fund Management, Private Retirement Scheme Other Offences Relating to False and Misleading Statements Other Offences
1.00 pm	Lunch Break
2.00 pm	Effective Marketing Skills Understanding your prospect needs from their perspective and create a client’s profile How to ask the right questions at the right time and adapting your approach based upon what they want Marketing techniques and models How to position yourself and your company in light of what they want and how they want it How to listen attentively and use the information that the prospect gives you to your advantage How to use 3rd level questioning skills to get the answer you WANT What and how to use the Elevator Pitch Neuro-linguistic programming (NLP) in marketing Effective Customer Service Plan out customer service and retention strategies How to build effortless rapport with your prospect What to focus on and what style to use to deliver your presentation Overcoming negative responses that you receive from your prospect Re-phasing Techniques: Turn negative situations to positive situations
3.30 pm	Coffee Break / Revision
4.30 pm	Assessment
5.15 pm	End of Programme

About The Speakers

THOMAS CHAN

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 regular speaker for various SIDC accredited courses as well as certification programmes such as the Certified Financial Planner (CFP). 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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If you have any questions,
our dedicated team of specialists is here to help you

Familiarisation Programme for Marketing Representatives (FPMR)

Past Programmes

8:30 am - 5:00 pm

Securities Commission Malaysia

Speakers : THOMAS CHAN

MYR 1100 *Fee is not inclusive of 8% SST

Familiarisation Programme for Marketing Representatives (FPMR)

Programme Delivery

Programme Outline

About The Speakers

THOMAS CHAN

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