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Latest Development in Capital Market Regulations, Conduct and Practices
Embark on a transformative journey through the ever-evolving landscape of capital markets! Did you know that in 2023, a total of 140 administrative sanctions were imposed by the SC for various misconducts and breaches of securities laws? The programme uniquely incorporates special focus on latest regulatory updates shaping the capital market. It explores critical aspects, addressing good conduct among intermediaries and tackling the challenges of market misconduct. This includes insider trading and market manipulation, impacting business performance and reputation. Delving into real-world cases and cutting-edge methods, it covers enforcement, penalties, and impacts on businesses. Discussion will also revolve around regulatory’s requirements and expectations as well as practical steps to promote better ethical standards, aligned with the latest regulations and practices with impact beyond capital market. Hence, the latest update of the SC Guidelines on Conduct for Capital Market Intermediaries will shed its insights in ensuring the market is conducted fairly and with integrity.
Moderator
Tehmina Kaoosji has a decade of live breaking news and current affairs programming experience across public, private, and online broadcast sectors in
SPEAKER / PANELLIST
Chin En Tek is an Assistant General Manager at the Law Reform Department, General Counsel’s Office, Securities Commission Malaysia.
Shahrin Shaikh Mohd has over 25 years of experience in fund management, unit trusts, and capital market regulation. Shahrin is responsible for implementing
Dato’ Dr. Azman, as MD & CEO of SJ Securities Sdn Bhd, manages its operations involving strategy, research, marketing, liaison with authorities,
Lok Eng Hong is Head of Investment Management Mid Market Client Solutions and Regional Head of Dealing at Maybank Investment Bank Berhad, serving large corporates, listed companies, high net worth investors, and business partners.
Scarlett is the Country Manager for Luno Malaysia, a leading regulated digital asset exchange (DAX) committed to providing a safe and secure platform for people to buy, store and explore digital assets. Previously, Scarlett served as Marketing Manager of Luno Malaysia
Julian Ng has about 20 years of experience in the investment banking industry and has worked regionally in Malaysia, Singapore and Hong Kong. He also produced and hosted prime-time business and finance shows on BFM89.9, the business radio station.
Muzzaffar Othman currently serves as Chief Executive Officer and Executive Director of ASNB. He holds a Degree Bachelor of Science (Chemistry) and has served in several organizations before the current position in ASNB.
Chief SAC Mohd Nur Lokman bin Samingan is the Sector Head of Anti-Corruption Initiatives at MACC’s National Governance Planning Division. He contributed to the National Anti-Corruption Strategies (NACS) document
Reinushini Chandrasegaram is the Managing Director of RC Compliance Sdn. Bhd., specialising in anti-corruption compliance, ESG/ sustainability assurance, and corruption risk management. With over 30 years of
DAVID MEOW has over 30 years of experience in capital and financial markets, specializing in financial modeling, business and securities valuation, financial risk management, financial reporting, capital markets law, and investment
Programme Objective
This programme is designed to equip participants with the latest insights on updated rules, regulations, and guidelines, particularly the Guidelines on Conduct for Capital Market Intermediaries, to foster professional conduct, fair, and ethical practices in the capital market.
Mode
Physical
Target Audience
Individuals
Capital Market Representative’s Licence (CMSRL) Dealing in Securities and Derivatives, Fund Managers, Compliance Officers, Financial Planners, Wealth and Legal Advisors, Risk Management Officers, Lawyers, Internal Auditors, Governance Officers, Professionals undertaking corporate advisory work, and academia interested in capital market regulations, market conduct, and practices.
Institutions
Capital Market Intermediaries, Public Listed Companies (PLs), Regulatory and Supervisory Bodies
Learning Outcomes
Upon completion of this programme, the participants will be able to:
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Competencies
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PROGRAMME – DAY ONE
9.00 am | New Updates of SC Guidelines on Conduct for Capital Market Intermediaries – Effective 1 October 2024
Panellists |
10.45 am | Coffee Break |
11.00 am | Capital Market Institutions Treatment of Vulnerable Clients
Discussions: How the vulnerable clients should be treated fairly and be allowed to make a well-informed investment decisions Provision of Personal Advice to Clients
Case Discussions: ESG and ESG related products – Expected conduct and potential misrepresentations Panellist Lok Eng Hong Head, Mid Market Solutions and Regional |
12.30 pm | Lunch Break |
2.00 pm | Provision of Capital Market-related Service on or through an Online Platform
Discussions: The rise of digital investment managers and how the tone from the top play a role in building a corporate culture that prioritises the interests of clients. Panellists Scarlett Chai Country Manager (APAC-Malaysia) LUNO Muzzaffar Othman Chief Executive Officer and Executive |
3.30 pm | Coffee Break |
4.45 pm | National Anti-Corruption Strategy (NACS) 2024-2028
Discussions: How the NACS strategy support the ongoing efforts and its impact on various parties including politicians, public administration, government procurement, law enforcement, legal and judicial institutions, the private sector and the general public. Panellists Reinushini Chandrasegaram Managing Director |
5.30 pm | End of Programme |
PROGRAMME – DAY TWO
9.00 am | Development of Insider Trading Laws in the Malaysian Capital Market
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10.30 am | Coffee Break |
10.45 am | Guidance Note on Controls by Fund Management Companies Managing MNPI
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12.30 pm | Lunch Break |
2.00 pm | What Can We Learn from Convicted Cases?
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3.30 pm | Coffee Break |
3.15 pm | Regulatory Expectations in Prevention of Insider Trading
Best Practices, Controls and the Culture of Compliance
Discussions: Speaker |
5.30 pm | End of Programme |
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