Navigating Business Resilience and the Future of Fund Management

Apr 2024

9:00 am - 5:00 pm

Securities Commission Malaysia - Conference Hall 2

Speakers : Tehmina Kaoosji (Moderator) | Amardeep Kaur | Reinushini Chandrasegaram | Khairul Azwa Kamalul Bahrin | Farhan Nor Diyana Samsudin | Gayathri Jaganathan | Azlina Izhar

Registration closing date is 3 business days before the programme date or when all seats are fully taken. The listed price is intended for Malaysian participants only. If you are a non-Malaysian, we kindly request you to reach out to Mr. Nor Effendi Othman at EffendiO@sidc.com.my for further information.

HRD Corp
Claimable

10 CPE

HRD Corp Registered Course/Programme No.: 10001397170

Navigating Business Resilience and the Future of Fund Management

In the contemporary tapestry of the global financial ecosystem, fund management companies find themselves navigating technological advancements and an evolving risk panorama highlighting the critical interplay between compliance and resilience. In today’s world, these twin imperatives are not only integral components of sound corporate governance but also fundamental pillars supporting the sustainable success and credibility of fund management companies.

The Securities Commission Malaysia (SC) through the Guidelines on Compliance Function for Fund Management Companies to establish controls and compliance, ensuring investor protection and market confidence. Additionally, the Guidance Note on Managing ESG Risks for Fund Management Companies which was issued on 30 June 2022, aims to assist the fund management companies in establishing a responsible investment framework. It provides clarity and outlines the regulator’s expectations regarding the development and implementation of practices, policies and procedures towards effective analysis and management of material ESG risks and risk-related considerations. Furthermore, it facilitates meaningful disclosures to investors while driving positive impact and change.

Furthermore, recent global events have demonstrated the need for robust business continuity plans. Whether facing a global pandemic, natural disasters, or market volatility, fund management companies must be equipped to weather unforeseen storms. Resilience measures not only provide a shield against disruptions but also position companies to emerge stronger from adversity.

This programme explores the symbiotic relationship between compliance and resilience, highlighting their interconnected nature. It extends beyond fulfilling legal obligations, focusing on strategically mitigating risks to foster a culture of resilience within fund management entities.

Programme Delivery

Programme Objective

This programme will equip participants with the knowledge and tools needed to thrive in an environment where adaptability, ethical conduct, and operational stability are paramount. Together, compliance and resilience form the bedrock upon which fund management companies can build a future-proofed, trustworthy, and successful enterprise in today’s rapidly evolving world.

Mode

Physical

Target Audience

Individual

Fund Managers, Investment Professionals, and Executives working within the fund management industry, Financial Analysts, Risk Management Professionals, Institutional Investors, Pension Funds and Wealth Management Professionals and Academics and Researchers specialising in finance.

Institutions

Capital Market Intermediaries, Digital Investment Management Companies, Public Listed Companies (PLCs), Regulatory and Supervisory Bodies who are keen to learn on compliance, risk management and business continuity planning

Learning Outcomes

Upon completion of this programme, the participants will be able to:

Describe the relevant guidelines governing the fund management regulatory framework
Explain the strategic leadership roles in ensuring corporate governance is uphold through compliance and eventually business resilience
Analyse how policies and procedures is designed in building an effective organisational compliance

Assess the compliance risks unique to the Malaysian fund management sector
Examine the importance of robust business continuity plans in the face of global events, natural disaster and market volatility for fund management companies
Discuss the communications approaches and mitigation strategies in times of crisis

Competencies

Functional (Process) – Fund Management, Compliance (Proficiency Level 3)
Core – Corporate Governance, Customer Focus, Risk Management (Proficiency Level 3)
Behavioural (Organisational Leadership) – Business Acumen (Proficiency Level 3)

Programme Outline

9.o0 am	Regulatory Framework for Fund Management Compliance in Malaysia Overview of the Securities Commission Malaysia (SC) and its role in regulating fund management companies. Guidelines on Compliance Function for Fund Management Companies Guidance Note on Managing ESG risks for Fund Management Companies Speaker: Amardeep Kaur, General Manager, Investment Management Development, Securities Commission Malaysia (SC)
10.30 am	Coffee Break
10.45 am	Strategic Synergy: Elevating Corporate Governance through Compliance Excellence and Business Resilience Establishing compliance and resilience governance structure Leadership responsibilities in ensuring regulatory adherence Integrating compliance and resilience into corporate governance Building Effective Compliance Policies and Procedures Designing comprehensive compliance policies tailored to the Malaysian context Implementing robust compliance procedures and controls Training and educating staff on compliance policies Speaker: Reinushini Chandrasegaram, Managing Director, RC Compliance Sdn. Bhd.
12.15 pm	Lunch Break
2.00 pm	Managing Compliance Risks in the Malaysian Fund Management Sector Identifying and assessing compliance risks specific to the fund management industry Conducting a comprehensive risk assessment Identifying and prioritising operational, financial, and regulatory risks Developing risk mitigation and management strategies Panelists: Khairul Azwa Kamalul Bahrin, Head of Risk Management & Compliance, Kumpulan Wang Persaraan (Diperbadankan) [KWAP] Farhan Nor Diyana Samsudin, Chief Compliance Officer, Maybank Investment Banking Group (MIBG) & Officer-in-Charge (Compliance), Maybank Investment Bank Berhad (MIBMY)
3.30 pm	Coffee Break
3.45pm	Business Continuity and Resilience Planning Developing and implementing business continuity and resilience plans Testing and exercising resilience and continuity plans Use of Artificial Intelligence (AI) and Machine Learning (ML) – Impact and associated risks in ensuring business resilience and continuity Crisis Management and Communications Developing a crisis communication framework Internal and external communication protocols during a crisis Learning from previous incidents and improving response strategies Approaches and mitigation strategies in addressing conflict of interest scenarios Lesson learned in identifying and managing issues of conflict of interest in capital market intermediaries. Panelists: Gayathri Jaganathan, Director, Risk Assurance Services, PwC Malaysia Azlina Izhar, Head, Group Business Continuity Management & Risk Controls, AFFIN Group
5.15pm	End of Programme