Programme Overview
Funds Management Regulation is a 2-day programme designed to provide insights into funds management, regulatory structure, fund management industries, licensing requirements, compliance and corporate governance relating to fund management.
Programme Objective
This programme is designed as a refresher course for CMSRLs or ERPs who would like to refresh themselves in funds management regulation. Apart from this, the programme also serves to support those preparing to sit for the Securities Commission Licensing Examination (SCLE) Module 9 on Funds Management Regulation. It’s highly recommended that participants put in a minimum of 120 self-study hours using study aids such as SCLE Module 9 e-guide, practice set questions, reading list and latest market updates for maximum benefit and reinforced learning.
Learning Outcomes
Upon completion of this programme, participants should be able to:
- Eecognise the fund management industry and its significance to the Malaysian economy
- Outline the regulatory structure of the funds management industry in Malaysia
- Identify the main laws, regulations and guidelines governing the operation of the funds management industry in Malaysia
- Distinguish the relationship between a fund management company and its client
- Explain the duty and standard of care applicable to a fund management company
- Describe the licensing requirements of fund management companies and their representatives
- Discuss various securities offences and how they are regulated
- Explain the purpose of an Investment Management Agreement and Investment Mandate
- Explain the compliance and its significance to a fund management company
- Discuss corporate governance and other issues affecting a fund management company
Programme Methodology
This programme will be delivered using effective learning methods including presentations, discussions and Q&A
Target Audience
Capital Markets Services Representative’s License (CMSRL) holder and Employee of Registered Person (ERP) who would like to refresh themselves in Funds Management Regulation.
Competencies
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PROGRAMME – DAY ONE
9.00 am | The Fund Management Industry in Malaysia
Laws and Organisations Regulating the Fund Management Industry
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10.30 am | Break |
10.45 am | The Law of Contract
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12.30 pm | Lunch Break |
2.00 pm | Negligent Misstatement
Relationship between the Fund Management Company and Client
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3.30 pm | Break |
3.45 pm | Conduct of a Fund Management Company’s Business
The Licensing Handbook
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6.00 pm | End of Day One |
PROGRAMME – DAY TWO
9.00 am | Securities Offences
Compliance
Topical Issues in Funds Management Regulation
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10.30 am | Break |
10.40 am | Related Guidelines for Fund Management Regulation
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1.00 pm | Lunch Break |
2.00 pm | Related Guidelines for Fund Management Regulation (cont’)
|
3.30 pm | Break |
3.45 pm | Related Guidelines for Fund Management Regulation (cont’)
|
6.00 pm | End of Programme |
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