Funds Management Regulations Programme

Laws & Regulations

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18
May 2024

18 May - 19 May 2024

9:00 am - 6:00 pm

Webinar

Speakers : Wong Loke Lim

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
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10 CPE

MYR 1750 *Fee is not inclusive of 8% SST

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HRD Corp Registered Course/Programme No.: 10001382509

Funds Management Regulations Programme

Programme Delivery

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:

  1. Eecognise the fund management industry and its significance to the Malaysian economy
  2. Outline the regulatory structure of the funds management industry in Malaysia
  3. Identify the main laws, regulations and guidelines governing the operation of the funds management industry in Malaysia
  4. Distinguish the relationship between a fund management company and its client
  5. Explain the duty and standard of care applicable to a fund management company
  6. Describe the licensing requirements of fund management companies and their representatives
  7. Discuss various securities offences and how they are regulated
  8. Explain the purpose of an Investment Management Agreement and Investment Mandate
  9. Explain the compliance and its significance to a fund management company
  10. 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

  1. Core – Corporate Governance (Proficiency Level 3)
  2. Foundational (Regulatory) – Anti-Money Laundering (Proficiency Level 3)
  3. Foundational (Regulatory) – Capital Market Institutions (Proficiency Level 3)
  4. Foundational (Regulatory) – Capital Market Intermediaries (Proficiency Level 3)
  5. Functional (Process) – Fund Management (Proficiency Level 3)
  6. Functional (Process) – Compliance (Proficiency Level 3)
  7. Functional (Technical) – Valuation (Proficiency Level 3

Programme Outline

PROGRAMME – DAY ONE

9.00 am The Fund Management Industry in Malaysia

  • What is fund management industry?
  • Significance of the fund management industry
  • Providers of the fund management services
  • Fund structures in Malaysia
  • Support services providers
  • Why does the fund management industry need to be regulated?
  • Industry bodies

Laws and Organisations Regulating the Fund Management Industry

  • Overview of law
  • The securities industry laws
  • Other relevant laws and regulations
  • Organisations regulating the fund management industry
  • Industry regulation
10.30 am Break
10.45 am The Law of Contract

  • What is the law of contract?
  • Essential elements of a contract
12.30 pm Lunch Break
2.00 pm Negligent Misstatement

  • What is negligence?
  • Elements of the tort of negligence
  • Negligent conduct – The duty and standard of care
  • Negligent misstatement
  • Statutory liability

Relationship between the Fund Management Company and Client

  • Analysing the relationship between a fund management company and its client
  • Laws governing the fund management company/client relationship
  • Ethical considerations
3.30 pm Break
3.45 pm Conduct of a Fund Management Company’s Business

  • Responsibilities of the organisation
  • The investment management agreement
  • Duties to clients
  • Records and segregation of assets
  • Substantial shareholders notices
  • Insurance cover

The Licensing Handbook

  • Chapter 1: Introduction
  • Chapter 2: Licences under the CMSA
  • Chapter 4: Licensing criteria
  • Chapter 7: Conditions and restrictions of licence
  • Chapter 10: Outsourcing arrangement by the CMSL holders
6.00 pm End of Day One

PROGRAMME – DAY TWO

9.00 am Securities Offences

  • Short Selling
  • Market Manipulation by Market Rigging
  • Market Manipulation by Information
  • Other Offences Relating to Dealing
  • Other Offences Relating to False and Misleading Statements
  • Insider Trading
  • Other Offences

Compliance

  • Compliance
  • The compliance system
  • Implementing the compliance plan
  • Authority of the compliance officer

Topical Issues in Funds Management Regulation

  • Corporate governance
  • Performance presentation standards
  • Key elements of performance presentation standards
10.30 am Break
10.40 am Related Guidelines for Fund Management Regulation

  • Guidelines on Compliance Function for Fund Management Companies
  • Guidelines for Public Offerings of Securities of Closed-end Funds
  • Guidelines on Conduct for Capital Market Intermediaries
1.00 pm Lunch Break
2.00 pm Related Guidelines for Fund Management Regulation (cont’)

  • Guidelines on Prevention of Money Laundering and Terrorism Financing for Reporting Institutions in the Capital Market
  • Guidelines on Implementation of Targeted Financial Sanctions Relating to Proliferation Financing for Capital Market Intermediaries
  • Guidelines on Unlisted Capital Market Products Under the Lodge and Launch Framework
  • Lodgement Kit: Unlisted Capital Market Products Under the Lodge and Launch Framework
3.30 pm Break
3.45 pm Related Guidelines for Fund Management Regulation (cont’)

  • Guidelines on Unit Trust Funds
  • Guidelines on Sales Practices of Unlisted Capital Market Products
  • Guidelines on Exchange-Traded Funds
  • Guidelines on Islamic Capital Market Products and Services
  • Guidance Note on Managing Environmental, Social and Governance for Fund Management Companies
6.00 pm End of Programme

About the Speaker

About the Speaker

Wong Loke Lim

Founder and Director of i-Biz Concept Sdn Bhd

Wong Loke Lim

Founder and Director of i-Biz Concept Sdn Bhd
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