Recommended Learning Hours: 30 minutes

Overview

This course primarily provides an overview of the Malaysian capital market, touching on the various capital market laws and regulations, explaining in detail roles and functions of the entities involved in the capital market (regulators and intermediaries), the rules and regulations applicable to the various regulated activities, function of capital raising, trading, and dealing and the types of offences related to market misconduct and the prohibited conducts.

 

Objective

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

1. Describe the roles and functions of the relevant regulatory bodies related to capital market activities
2. Explain the regulatory requirements applicable to specific regulated activities
3. Distinguish capital market activities that are allowed and restricted, including limitations for the allowed activities
4. Outline products, rules and regulations pertaining to regulated activities
5. Monitor trades and activities in accordance with applicable procedures and regulations

Topics

This module will cover:

1. Overview of the Malaysian Capital Market
2. Regulation of the Malaysian Capital Market
3. Malaysian Capital Market Legal Framework
4. Licensing
5. Regulated activities definition & roles
6. Regulated activities and permitted activities- fit and proper requirements, key management and compliance
7. Capital Raising on the Primary Market
8. Trading on the Secondary Market
9. Derivatives Dealing
10. Market Misconduct and other Prohibited Conduct
11. Compensation fund: SIDREC

Competencies

Capital Market Institutions (Proficiency Level 3) Capital Market Intermediaries (Proficiency Level 3) Anti-Money Laundering (Proficiency Level 3) Capital Market Products Regulations (Proficiency Level 3)

Recommended Learning Hours: 30 minutes

Overview

This course provides participants with an overview of AMLA, its importance and its management to meet legal and regulatory requirements and expectations. It will also enhance participants’ ability to apply appropriate measures to mitigate the money laundering and financing risk in the compliance function.

 

Objective

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

1. Explain the requirements under AMLA applicable to capital markets
2. Recognise transactions which fall under AML laws and regulation
3. Determine processes and practices to detect and prevent AML
4. Describe the roles and functions of the relevant regulatory bodies related to capital market activities

Topics

This module will cover:

1. AMLA Regulatory Framework
2. The role and importance of AMLA
3. AMLA Guidelines for the Capital Market
4. AML Detection and Prevention
5. The Compliance Role in AMLA

Competencies

Capital Market Institutions (Proficiency Level 3) Capital Market Intermediaries (Proficiency Level 3) Anti-Money Laundering (Proficiency Level 3)

Recommended Learning Hours: 30 minutes

Overview

This course primarily provides an overview on the concept and importance of compliance, the roles and responsibilities of different parties within a firm in relation to compliance, the functions of compliance officers which include providing advisory, compliance review, conducting or assist in conducting compliance training programme and developing a compliance programme. The course also covers compliance issues including the impact of technology on the compliance role.

 

Objective

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

1. Identify the roles and responsibilities of the compliance function in the firm
2. Analyse the costs and benefits of compliance
3. Explain the impact of technological advances which give rise to compliance issues
4. Determine factors to consider in creating an effective compliance framework

Topics

This module will cover:

1. Essential Compliance Concepts and Principles
2. Compliance Function – Roles and Responsibilities
3. Functions of Compliance Officers
4. Costs and Benefits of Compliance
5. Rules and Regulations on Compliance
6. Compliance Issues and Impact of Technology on Compliance Officers
7. Compliance Review
8. Essential Framework of a Compliance Programme

Competencies

Compliance (Proficiency Level 4) Capital Market Institutions (Proficiency Level 3) Capital Market Intermediaries (Proficiency Level 3) Anti-Money Laundering (Proficiency Level 3) Digital Technology Application (Proficiency Level 2)

Recommended Learning Hours: 30 minutes

Overview

This course will introduce participants to the concept of effective customer service ranging from customer focus, sales & marketing and know your client and the role of compliance.

 

Objective

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

1. Recognise services offered from the customer’s perspective
2. Identify appropriate communication style for internal and external customers
3. Review and propose actions in KYC processes to enhance customer experience while meeting regulatory requirements

Topics

This module will cover:

1. Introduction to Customer Focused Services
2. Build a customer knowledge set (internal/external)
3. Communication Focus (internal/external)
4. Dealing with difficult customers and Pro-active Recovery (internal/external)

Competencies

Customer Focus (Proficiency Level 2) Compliance (Proficiency Level 3) Communication (Proficiency Level 3) Networking and Relationship Building (Proficiency Level 3)

Recommended Learning Hours: 30 minutes

Overview

This course will provide participants with an introduction on the relevance of corporate governance, risk management and ethics & integrity to compliance in the Malaysian capital market. Participants will be exposed to recommended practices of corporate governance, the identification of risk management practices in organisations, the concept and principles of ethics and integrity in relation to overall compliance for the capital market.

 

Objective

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

1. Define and outline the principles and requirements of good corporate governance
2. Recognise emerging risks issues and trends in the capital market industry
3. Identify practices that promote fairness and transparency in dealing with others
4. Explain the important elements in the Code of Ethics and Code of the Conduct

Topics

This module will cover:

1. Corporate Governance Principles, Framework and Practices
2. Introduction to Risk Management
3. Practice of Risk Management in the Capital Market
4. Concept and Principles of Ethics and Integrity
5. Code of Ethics and Code of the Conduct for the Capital Market
6. The relationship between corporate governance, risk management, ethics and integrity and the compliance role

Competencies

Ethics and Integrity (Proficiency Level 2) Corporate Governance (Proficiency Level 2) Risk Management (Proficiency Level 2) Compliance (Proficiency Level 3)

Recommended Learning Hours: 30 minutes

Overview

This course provides an overview of economics, capital market environment, types of the capital market products such as equities, fixed income, derivatives, hybrid securities as well as the money market instrument. The concept of time value of money and basic finance theories will be introduced to gain an understanding on risk and return of capital market products.

 

Objective

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

1. Recognise the effects of economic changes, monetary and fiscal policies on the capital market environment and businesses
2. Identify factors driving the performance of capital market products
3. Distinguish between Conventional and Islamic Capital Market (ICM)
4. Explain the risk and return relationship for capital market products

Topics

This module will cover:

1. Introduction to Capital Market Environment
2. Fundamental of Economics
3. Capital Market Products and Services (Features, Characteristics and Risk)
4. Overview of Risk and Return
5. Introduction to Islamic Capital Market

Competencies

Capital Market Environment (Proficiency Level 2) Capital Market Products (Proficiency Level 3)

Recommended Learning Hours: 15 minutes

Overview

This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives.

This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement

 

Objective

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

1. Differentiate the obligations and rights between counterparties of a securities trade and derivatives dealing
2. Identify products, relevant rules and regulations for securities trade and derivatives dealing and settlement

Topics

This module will cover:

1. Overview on Securities and Derivatives
2. Securities
3. Derivatives

Competencies

Securities Trading (Proficiency Level 3) Settlement of Securities Trades (Proficiency Level 3) Derivatives Dealing (Proficiency Level 3) Settlement of Derivatives Deals (Proficiency Level 3) Client Advisory (Proficiency Level 3) Know Your Client (KYC) (Proficiency Level 3)

Recommended Learning Hours: 15 minutes

Overview

This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives.

This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement

 

Objective

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

1. Explain all deals in the trading system in accordance with procedures and regulations
2. Identify the types of trade and margin required for settlements
3. Outline the process for payment and transfer of securities stipulated in the rules, regulations and procedures

Topics

This module will cover:

1. Dealing, Trading and Settlement Process
2. Dealing with client on Securities Trading and Settlement Process
3. Understanding and interpreting disclosure documents for securities trading

Competencies

Securities Trading (Proficiency Level 3) Settlement of Securities Trades (Proficiency Level 3) Derivatives Dealing (Proficiency Level 3) Settlement of Derivatives Deals (Proficiency Level 3) Client Advisory (Proficiency Level 3) Know Your Client (KYC) (Proficiency Level 3)

Recommended Learning Hours: 15 minutes

Overview

This course provides an overview on securities trading and derivatives dealing and settlement in Malaysia, the regulations, the process of trading and dealing in securities and derivatives, dealing with client and the advisory function in relation to dealing in securities and derivatives.

This course provides an overview on the regulations and processes related to dealing in securities and derivatives in Malaysia, ranging from advising clients to trading and settlement

 

Objective

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

1. Identify and outline the rules and guidelines related to market misconduct, offences and unethical business conduct
2. Identify issues arising from Digital Technologies and other technological advancements

Topics

This module will cover:

1. Client Advisory
2. Market Misconduct
3. Digital Technology Application

Competencies

Securities Trading (Proficiency Level 3) Settlement of Securities Trades (Proficiency Level 3) Derivatives Dealing (Proficiency Level 3) Settlement of Derivatives Deals (Proficiency Level 3) Client Advisory (Proficiency Level 3) Know Your Client (KYC) (Proficiency Level 3)

Recommended Learning Hours: 30 minutes

Overview

This course covers the fundamentals in relation to fund management from the rules and regulations applicable to fund management companies to the various theories and methods used for the construction of investment portfolios for clients.

 

Objective

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

1. Outline the regulatory requirements and procedures for fund management
2. Explain the theories, principles and processes of fund management and the tools to manage a portfolio
3. Determine procedures to comply with fund management practices
4. Discuss market developments, trends and market data that have an impact on portfolio performance

Topics

This module will cover:

1. The Fund Management Industry
2. Investment Background
3. Portfolio Construction
4. Monitoring and Review Fund
5. Compliance and Risk Management
6. Digital Technology Application

Competencies

Fund Management (Proficiency Level 3) Client Advisory (Proficiency Level 3) Compliance (Proficiency Level 3) Know Your Client (KYC) (Proficiency Level 3)

Overview

The changes in today’s regulatory and business environments demands different skills on compliance officers. There is a pressing need to upgrade their skills and influence to manage the ever evolving regulatory changes in the increasingly competitive business landscape.

This course provides comprehensive, practical insights and strategies in enhancing the behavioural skills relevant to participants starting out as compliance officers in the capital market. This course focuses on the practical strategies in demonstrating the essential behavioural skills to enable them to discharge their functional and advisory roles effectively

 

Objective

This programme will enable participants to recommend an action plan to mitigate compliance issues while anticipating challenges from the business units and communicate with the regulator.

 

Learning Outcomes

By the end of this programme, participants will be able to:

• Identify the must-have skillsets for compliance officers
• Describe the role of compliance officers in intermediaries
• Determine individual competency gaps to work on based on the skillsets and role
• Interpret the big picture in determining business and regulatory needs
• Identify issues and challenges surrounding the responsibilities of compliance officers
• Discuss the elements of good judgement in dealing with issues of business challenges and regulatory expectation
• Develop an action plan to affect change towards system improvement

Target Audience

Individuals

For aspiring compliance professionals & all employees in the capital market: Compliance Offiers, Dealers, Trading Representatives, Risk Management Officers, Fund Managers and Analysts.

Companies

Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies

 

Competencies

Functional (Process) – Compliance (Proficiency Level 3) Behavioural (Self Management) – Analytical Thinking (Proficiency Level 3) Behavioural (Self Management) – Resilience and Adaptability (Proficiency Level 3) Behavioural (People Management) – Communication (Proficiency Level 3) Behavioural (People Management) – Influencing & Negotiation (Proficiency Level 3)

 

Programme Outline

	Registration
9.00 am	Overview of Compliance Role and Functions Key attributes of a compliance officer The future of businesses and the compliance role Preparing for changes in today’s regulatory environment The compliance function in an intermediary
10.30 am	Screen Break
10.45 am	Essential Skillsets of Compliance Officers Analytical thinking – applying rules to real-life facts Resilience and Adaptability –  dealing with grey areas Communication – communicating at all levels of the organisation Influencing and Negotiation – getting buy-in from everyone Steps you can take to close your competency gaps
1.00 pm	Lunch
2.00 pm	Compliance in Action Interpreting the spirit of the rule Attention to the big picture – avoiding box ticking, aligning compliance requirements and business needs What is a good compliance culture? i.e. ethics Communicating effectively at different levels i.e. getting BOD & management support Issue and Challenges
3.30 pm	Screen Break
3.45 pm	Implementing the Action Plan Where to start? Practical steps Tools and resources Collaborating with others
5.00 pm	End of Programme

Overview

The key roles Compliance Officers need to focus on are advising, educating and monitoring. Practical skills necessary to carry out the compliance function effectively are thinking and communication skills to interact with all levels of the organisation.

This course focuses on participants embarking on the compliance function where they will be exposed to problem solving approaches which would be useful in their roles and responsibilities. Participants will also be able to convey ideas and information by applying the communication process to ensure clarity, persuasiveness and confidence.

 

Objective

This programme will enable participants to recommend a solution for a problem or issue supported by possible options in a given situation related to the compliance function

 

Learning Outcomes

By the end of this programme, participants will be able to:

• Describe thinking and problem solving frameworks and fundamentals
• Determine the steps to enhance thinking skills to assess compliance matters
• Explain the concept and process of problem solving and decision making in overseeing the compliance of the relevant rules and regulations
• Identify potential decision-making strategies in dealing with possible misconduct
• Develop effective communication techniques to manage compliance conversations

Target Audience

Individuals

New entrants: Compliance Offiers, Dealers, Trading Representatives, Risk Management Officers, Fund Managers and Analysts.

Companies

Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies

 

Competencies

Behavioural (Self Management) – Analytical Thinking (Proficiency Level 3) Behavioural (People Management) – Communication (Proficiency Level 3) Behavioural (Organisational Leadership) – Problem Solving (Proficiency Level 3) Behavioural (Organisational Leadership) – Decision Making (Proficiency Level 3) Behavioural (Self Management) – Creativity and Innovativeness (Proficiency Level 2)

 

Programme Outline

	Registration
9.00 am	Thinking Frameworks and Fundamentals A framework for thinking The need for thinking skills Enhancing thinking skills Dealing with compliance issues
10.30 am	Screen Break
10.45 am	Essentials of Problem Solving and Decision Making Data gathering Analysis Decision making strategies Overseeing the application of and conformance with the relevant rules and regulations
1.00 pm	Lunch
2.00 pm	Communication for Better Workplace Efficiency Listening skills crucial to the compliance function Communication in context Verbal and written communication and effectiveness Bringing compliance issues to the attention of the BOD and management
3.30 pm	Screen Break
3.45 pm	Managing Effective Compliance Conversations Managing effective compliance conversations Handling difficult conversations Effective use of digital communication Choosing the right communication channels
5.00 pm	End of Programme

Overview

The compliance unit is essential in any capital market intermediary as it serves to ensure that everyone working in the capital market intermediary adheres to laws and regulation. In order to carry out its function effectively, the compliance unit should establish a strong network and relationship with internal and external parties to ensure the smooth running of the business at the same time comply with laws and regulations.

The course will enable participants to create networking opportunities and build relationships with both internal and external parties to enable meaningful conversations on compliance to be carried out. This course introduces techniques and strategies to build confidence in networking among various stakeholders. Participants will take part in discussions, interactive tasks and role plays to immediately put into practice the techniques and strategies taught.

 

Objective

Participants will be able to build effective networks between compliance unit and various stakeholders and avoid the common pitfalls when building business relationships.

 

Learning Outcomes

By the end of this programme, participants will be able to:

• Describe the general concept of business networking and its importance in the compliance fraternity
• Explain the process of starting effective networking relationships and building up rapport with counterparties
• Discuss the common pitfalls when building business relationships among different stakeholders
• Apply the appropriate techniques when asking questions to counterparties
• Articulate the importance of establishing meaningful business relationships and effective stakeholder engagement

Target Audience

Individuals

For aspiring compliance professionals & all employees in the capital market: Compliance Offiers, Dealers, Trading Representatives, Risk Management Officers, Fund Managers and Analysts.

Companies

Fund management companies, stockbroking firms, investment banks,  alternative financing platforms, startups, exchanges, public listed companies

 

Competencies

Behavioural (People Management) – Networking and Relationship Building (Proficiency Level 3) Behavioural (People Management) – Communication (Proficiency Level 3) Behavioural (People Management) – Influencing & Negotiation (Proficiency Level 3)

 

Programme Outline

	Registration
9.00 am	Essentials of Networking General concept of networking in business Networking needs for compliance Internal network External network Networking for compliance role: professional networking vs social networking vs personal networking Similarities and differences in networking practices among different networks Preparation in Establishing Network Examining existing network External: Regulators, counterparts in the industry, professional association, social media networks Internal: Management, Board of Directors, internal departments Professional associations Online/social media networks
10.30 am	Screen Break
10.45 am	Building Effective Networking How to initiate communication based on types of networking Tailoring communication style and delivery method according to network type Asking questions effectively What to ask during networking sessions? What not to ask during networking sessions? Open ended vs close ended Common pitfalls to avoid during communication Role play: Initiate conversations during networking sessions using effective questioning techniques based on types relationships
1.00 pm	Lunch
2.00 pm	Expanding and Strengthen Network Building-up rapport with new network Managing existing networks and working relationships Networking events and expectations Face-to-face etiquette and best practices Online etiquette and best practices Building Meaningful Relationships Importance of building meaningful relationships Key to a lasting relationship in business Managing network among crucial stakeholders Regulator Board of Directors Management
3.30 pm	Screen Break
3.45 pm	Making Effective Stakeholder Engagement Perform stakeholder analysis to identify their needs and concerns Stakeholder Engagement Continuum How to persuade and influence various stakeholders in getting buy-ins? Role play: Networking with different types of stakeholders by them?
5.00 pm	End of Programme

Recommended Learning Hours: 180 minutes (60 minutes for each case)

Overview

The 3 cases studies briefly explain the facts in relation compliance issues faced by compliance officers today. Analyse and discuss each situation and its practical in approaching a regulatory breach from a compliance perspective.

 

Objective

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

1. Gain a better understanding of governance, risk, compliance and ethics
2. Relate the fundamental reasons for compliance to capital markets
3. Show the costs of, and the benefits brought by, compliance
4. Gain a better understanding of the role and objectives of compliance
5. Demonstrate how compliance meets these objectives
6. Show how compliance provides assurance, both internally and externally
7. Develop knowledge of the thinking and communications skills needed by compliance professionals
8. Identify areas where communications are required
9. Escalation and reporting requirements
10. How to handle breaches, who to involve, and external requirements

Case

This programme will cover:

1. Wells Fargo: Corporate Governance, Risk and Compliance Failings
   1. Amazon data breach: Compliance Officer Functions
   2. Credit Suisse poor investment credit risk due diligence: Establishing and Monitoring Compliance
2. Thinking and Communication Skills – How to be an Effective Compliance Officer

Competencies

Corporate Governance (Proficiency Level 2) Risk Management (Proficiency Level 2) Ethics and Integrity (Proficiency Level 2) Due Diligence (Proficiency Level 2) Compliance (Proficiency Level 2 – 3) Capital Market Institutions (Proficiency Level 3) Capital Market Intermediaries (Proficiency Level 3) Decision Making (Proficiency Level 3) Problem Solving (Proficiency Level 3)

Recommended Learning Hours: 120 minutes (3 scenarios per group, presentation of 10 mins per group)

Overview

This programme primarily gives an overview on the compliance concepts and issues from real life scenarios perspective and the practical approaches that a compliance officer can take in managing them effectively.

 

Objective

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

1. Describe the anti-bribery and corruption requirements of reporting institutions in capital market
2. Recognise the ESG agenda and its potential implications for all companies, particularly those who are regulated and/or listed
3. Explain the use of derivatives in derivatives trading
4. Examine the importance in providing proper client advisory based on customer suitability
5. Assessing whether a candidate satisfy the Fit & Proper criteria for conducting regulated activities
6. Recognise the balance between risk and return and investment suitability based on customers’ risk profile, needs and investment horizon.
7. Distinguish the different capital raising options and the main pros and cons
8. Discuss the issues around licensing requirements in a country and cross-border basis
9. Outline the role of SIDREC and the complaints that can be brought to the SIDREC for dispute resolution and its limitations
10. Identifying red flags of a specific example of money laundering
11. Discuss on the need of having effective policies to manage potential conflict of interest to safeguard sensitive information
12. Recognise the importance of information security reporting requirements and the implications of not reporting breaches to the regulators and exchange on a timely basis
13. Describe fair dealing with customers in accordance with the Code of Ethics and Code of Conduct for Capital Markets
14. Identifying ransomware red flags as part of cybersecurity awareness
15. Recognise the application of a data governance policy and the implications it will have on the organisation.
16. Indicate the implications of not performing and reporting reviews on a timely basis
17. Explain the concept of 3 lines of defence and the roles of, and expectations of, a compliance and the role of compliance
18. Infer the AML/CFT requirements and how they tie to sanctions additional challenges posed by digital onboarding
19. Recognise the role of the compliance function, the issues faced by it and how it can add value to an organisation
20. Deliberate the different factors, we need to consider in relation to data management

Scenarios

This programme will cover:

1. Anti-bribery and Corruption
2. Environmental, Social and Governance
3. Derivatives
4. Client Advisory
5. Fit & Proper Criteria
6. Overview of Risk and Return and Investment Suitability
7. Capital Raising
8. Regulated Activities and Permitted Activities
9. Going to Securities Industry Dispute Resolution Center (SIDREC)
10. Anti-Money Laundering
11. Managing Chinese Walls and Personal Account Dealing Policies
12. Timely Reporting of Breaches
13. Treating Customers Fairly: Engaging in Unfair Market Practices
14. Identifying Ransomware
15. Data Governance
16. Reporting of Reviews
17. The Compliance Role
18. AML/CFT, Sanctions and Digital Onboarding
19. The Compliance Role – Cost or Benefit?
20. Managing Customer Data

Competencies

Compliance (Proficiency Level 2) Capital Market Institutions (Proficiency Level 2) Capital Market Intermediaries (Proficiency Level 2) Anti-Money Laundering (Proficiency Level 2) Capital Market Products Regulations (Proficiency Level 2) Securities Trading (Proficiency Level 2) Settlement of Securities Trades (Proficiency Level 2) Derivatives Dealing (Proficiency Level 2) Settlement of Derivatives Deals (Proficiency Level 2) Client Advisory (Proficiency Level 2) Know Your Client (KYC) (Proficiency Level 2) Capital Market Environment (Proficiency Level 2)