Capital Market Director Programme (CMDP):
Programme Overview
Licensed intermediary institutions play an important systemic role in the capital market ecosystem. The growth or decline of the capital market is influenced by, among others, the success and failure of these institutions. Hence, the quality of leadership at these institutions is paramount. Kiel et al., 2012 suggest four levels of competence required of a board. They are as follows:
Industry: Experience in and knowledge of the industry in which the organisation operates
Technical: Technical/professional skills and specialist knowledge to assist with ongoing aspects of the board’s role
Governance: The essential governance knowledge and understanding all directors should possess or develop if they are to be effective board members
Behavioural: The attributes and competencies enabling individual board members to use their knowledge and skills to function well as team members and to interact with key stakeholders
Programme Objectives
The Capital Market Director Programme (CMD) is an exclusive platform for directors and other strategic personalities of licensed intermediary institutions to equip themselves with new and relevant knowledge, skills and abilities (basic to intermediate level). The programme is also designed to allow them to explore and deliberate on pertinent issues affecting the industry from multi-stakeholders’ perspectives.
The specific objectives of the programme are as follows:
- Equip members of the board with knowledge and skills to provide leadership and oversight in the running of licensed intermediary institutions;
- Assist directors of licensed intermediary institutions in becoming an effective member of the board through the latest developments in regulations and challenges, business and governance in the capital market; and
- Promote a thorough understanding of the role of the Securities Commission in regulating a dynamic and competitive capital market.
This programme will also “strengthen intermediation standards and capabilities” as espoused by the Capital Market Masterplan 2 (CMP2).
Securities Commission Malaysia (2011) Capital Market Masterplan 2. Securities Commission, Kuala Lumpur.
Learning Outcomes
Module 4: Emerging and Current Regulatory Issues In The Capital Market
At the end of the module, participants will be able to:
- Understand and articulate the emerging issues potentially affecting the business of licensed intermediaries;
- Identify and understand the red flags of potential misconducts; and
- Exercise judgement appropriately in ensuring (i) proper conduct of licensed intermediaries and (ii) effective dealings with the regulator – the Securities Commission Malaysia.
CPD*
*SIDC CPE points are recognised by FIMM, AICB and MIA
Learning Hours
3.5 hours
Competencies
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Target Audience
Individual
Newly appointed directors and directors of CMSL holders
OUTLINE MODULE 4 – EMERGING AND CURRENT REGULATORY ISSUES IN THE CAPITAL MARKET
8.30 am | Registration |
9.00 am | Recognise The Emerging Issues Potentially Affecting The Business Of Licensed Intermediaries:
|
10.30 am | Coffee Break |
10.45 am | Understand the role of the Securities Commission Malaysia as primary stakeholder in ensuring proper conduct through sound appreciation of:
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12.30 pm | End of Programme |
Mohammad Ridzuan Abdul Aziz
Founder & Chief Executive Officer, CS Tech Solutions
Mohammad Ridzuan Abdul Aziz (Ridzuan) has over 20 years of commercially–driven regulatory, compliance and technology experiences in Asia-Pacific. He is currently the Malaysia Country Director and Head of ASEAN Business for WorldRemit, and on the board of KAF Investment Bank, AKRU robo-advisory, DearTime InsureTech and Ethis Global Ventures.
He is a member of the board advisor for the Fintech Association of Malaysia where among others, focuses on raising Malaysia’s unique combined values of mature on-shore fintech eco-system, nimble Labuan mid-shore framework and wealth of depth & breath from Islamic Digital Economy. He was also the Secretary General for the ASEAN Chapter of the Global Impact Fintech Forum, a global thinktank that focuses on Fintech initiatives that has significant impacts with members across 70+ countries and founding member of Faster Community that’s consist of MENA fintech founders and leaders.
Ridzuan is an advisor for the Labuan Financial Services Authority (Labuan FSA), Asia Pacific University (APU), Taylor’s University Business School, Quest International University (QIU) and Policy Streets.
In 2013 and 2016, Ridzuan founded regulatory technology advisory firms – RHT Compliance Solutions and CS Technology Solutions Sdn Bhd, respectively. In 2017, Ridzuan was the CEO of Sedania As-Salam Capital Sdn Bhd, a digitalenabling platform for Shariah-compliance personal objective-loan financing.
He was a regulator with the Kuala Lumpur Stock Exchange (1998) during the Asia financial crisis, the Securities Commission ((2001) and then redeployed to a joint task force between the Securities Commission and Bank Negara Malaysia during the formation of the investment bank concept (2002).
Ridzuan graduated from University of Wales, Aberyswyth (1997) with BSc Economics, majoring in Accounting and Finance. He obtained his MBA, specializing in Management Information System from the International Islamic University Malaysia (2005).
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