About the Speaker
Wong Loke Lim
Founder and Director of i-Biz Concept Sdn Bhd
03
Sep 2022
03 Sep - 04 Sep 2022
9:00 am - 6:00 pm
SIDC LAMS
Speakers : Wong Loke Lim
Registration closing date is 3 business days before the programme date or when all seats are fully taken.
Module 19: Advisory Services (Rules & Regulations)
Programme Objective
This programme is designed to match the licensing study outline for Module 19 on advisory services (rules and regulations). It covers the principles of contract of law and relevant issues, related guidelines pertaining to equities, private debt securities and structured products.
Programme Overview
This programme equips participants with comprehensive understanding and knowledge based on Module 19 Study Outline. Participants will advance their knowledge and comprehension further via interactive teaching and learning experience while increasing their confidence in sitting for the examination. This programme will be facilitated by an experienced and qualified trainer.
Learning Outcomes
Candidates are expected to have good knowledge, understanding and ability to apply in the following areas:
- Outline the principles of contract law and relevant issues
- Describe the laws which are relevant to the advisory services in the Malaysian capital market
- Explain the system and procedures of licensing of persons who carry on the investment advisory business in Malaysia
- Describe the features and prohibitions of investment advisory activities
- Describe the regulations governing the issue and offer of equity securities, listing of corporations and quotations of securities on the Main Market of Bursa Malaysia Securities Berhad (Bursa Securities) (Main Market) and proposals which result in a significant change in the business direction or policy of corporations listed on the Main Market under the Securities Commission Malaysia’s Equity Guidelines
- Explain the regulations setting out who can act as principal advisers for the submission of corporate proposals and the competency standards required
- Describe the regulations governing the conduct of due diligence for corporate proposals by issuers, advisers and experts
- Describe the activities and current trends connected to money laundering and terrorism financing and the Malaysian regulatory approach towards them
- Explain the characteristics and regulations governing take-overs in Malaysia
- Explain the regulations governing valuations of property assets in conjunction with corporate proposals for submission to the Securities Commission Malaysia or for inclusion in prospectuses and circulars
- Identify the regulations governing the issuance and registration of prospectuses
- Describe the regulations governing the issue, subscription, purchase, invitation to subscribe or purchase private debt securities or Sukuk to retail investors
- Describe the regulations that must be observed for the purposes of exclusively making available unlisted capital market products to sophisticated investors in Malaysia or persons outside Malaysia
- Explain the regulations governing the issuers of structured warrants
- Discuss the regulations governing listing of securities under Bursa Securities Main Market Listing Requirements, Bursa Malaysia Securities Berhad ACE Market Listing Requirements and Bursa Malaysia Securities Berhad LEAP Market Listing Requirement
Candidates’ Prerequisites
Candidates are expected to possess good knowledge and understanding of the subject matter provided in the study outline and specified references. It is estimated that this module will require a minimum of 200 hours of study time. The amount of study hours needed depends on the education background and work experience of the candidates. Candidates are also expected to update themselves with the latest changes relevant to the module as all questions will be continuously updated.
Methodology
This programme will be delivered using effective learning methods including presentations, discussions and review of examination questions.
PROGRAMME – DAY 1
| 9.00 am | Legal Considerations and Code of Conduct
|
| 10.30 am | Break |
| 10.45 am | Licensing of Persons Who Carry on the Business of Investment Advice, Advising on Corporate Finance and Their Representatives
Prohibited Conduct and Insider Trading
Guidelines on Prevention of Money Laundering and Terrorism Financing for Reporting Institutions in the Capital Market
|
| 1.00 pm | Lunch Break |
| 2.00 pm | Guidelines Related to Advisory Services and Its Applications
1. Equity Guidelines
2. Guidelines on Submission of Corporate and Capital Market Product
|
| 3.30 pm | Break |
| 3.45 pm | Guidelines Related to Advisory Services and Its Applications (con’t)
3. Prospectus Guidelines
|
| 6.00 pm | End of Day 1 |
PROGRAMME – DAY 2
| 9.00 am | Guidelines Related to Advisory Services and Its Applications (con’t)
4. Malaysian Code on Take-Overs and Mergers 2016
5. Rules on Take-Overs, Mergers and Compulsory Acquisition
|
| 10.30 am | Break |
| 10.45 am | 6. Asset Valuation Guidelines
7. Guidelines on Issuance of Corporate Bonds and Sukuk to Retail Investors
|
| 1.00 pm | Lunch Break |
| 2.00 pm | Guidelines Related to Advisory Services and Its Applications (con’t)
8. Guidelines on Unlisted Capital Market Products Under the Lodge and Launch Framework
9. Lodgement Kit: Unlisted Capital Market Products Under the Lodge and Launch Framework
10. Guidelines on Issuer Eligibility – Structured Warrants
|
| 3.30 pm | Break |
| 3.45 pm | Bursa Malaysia Securities Berhad Main Market Listing Requirements
Bursa Malaysia Securities Berhad Ace Market Listing Requirements
Bursa Malaysia Securities Berhad LEAP Market Listing Requirements
|
| 6.00 pm | End of Day 2 |
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