CHK Consultancy Sdn. Bhd.

(Co. No: 659416-V)
(SST No: P11-1902-32000041)


The Finance and business Courses Provider In Your Place




All the training courses by Dr. Ch'ng Huck Khoon are eligible for HRDF claims under the Skim Bantuan Latihan (SBL) Scheme, subject to prior application to HRDF by the employers/companies.

Companies that contribute to the Human Resource Development Fund (HRDF) are entitled to obtain a training grant from HRDC under the Skim Bantuan Latihan (SBL) scheme or SBL-Khas Scheme. Application is subject to HRDC's approval.

2019 EDUCATION PROGRAM FOR REPRESENTATIVES OF PARTICIPATING ORGANISATIONS AND TRADING PARTICIPANTS : "CREATING AN ETHICAL FRAMEWORK FOR THE CAPITAL MARKET SERVICES INDUSTRY"

2019 EDUCATION PROGRAM FOR REPRESENTATIVES OF PARTICIPATING ORGANISATIONS AND TRADING PARTICIPANTS : "CREATING AN ETHICAL FRAMEWORK FOR THE CAPITAL MARKET SERVICES INDUSTRY "

ORGANISER

Bursa Malaysia Berhad

ATTENDANCE FEE & REGISTRATION

Free of charge

Download the Registration Form      to register for the course.

Kindly email or WhatsApp the registration form to Ms Joanne: H/P or WhatsApp: 017-4187 988 & 010-3722727 Email: cpeseminar@chkconsultancy.com.my / joanne@chkconsultancy.com.my

TARGET AUDIENCE

Dealer’s Representatives, Futures Broker’s and Registered persons of Participating Organisations / Trading Participants

VENUES & DATE

Venue Date   Venue Date
Kuala Lumpur / JW Marriot Hotel  16.03.2019    Johor Bahru/ Renaissance Hotel  20.07.2019
 Penang / The Wembley Hotel  06.04.2019    Kuala Lumpur / JW Marriott Hotel  27.07.2019
 Ipoh / Weil Hotel  20.04.2019    Penang / The Wembley Hotel  03.08.2019
 Kuching / Hilton Hotel  27.04.2019    Kota Kinabalu / Le Meridien Hotel  24.08.2019
 Melaka / Novotel Hotel  13.07.2019    Kuala Lumpur / JW Marriott Hotel  21.09.2019

 

denotes the registration closed (full house)

PROGRAMME OBJECTIVES

  • Create awareness on regulatory issues, code of ethics and promote higher standards of business conduct of Representatives .
  • Improve the standard of compliance to the requirement of the rules and regulation particularly on trading activities as well as instill a culture of self-regulation amongst the Participating Organisations / Trading Participants and their registered persons.
  • Understanding the existing regulations, rules, directives and guidance issued by the Bursa, Securities Commission (SC) and Bank Negara Malaysia (BNM).

LEARNING OUTCOME

Upon completion of the conference, participants would be able to:
  • Describe the Code of Ethics and regulatory framework governing the capital market intermediaries.
  • Apply appropriate techniques to gain customer’s acceptance for the proposed products or services.
  • Identify capital market activities that are allowed and restricted, including limitations for the allowed activities.

SIDC - CONTINUING PROFESSIONAL EDUCATION (CPE)

This seminar is SIDC Accredited and carries 10 CPE points.

PROGRAMME OUTLINES

 8.30am to 9am  Registration
 9am to 10.30am  Role of Ethics in Governance
  • Code of Ethics for the financial services industry by Financial Services Professional Board
  • Regulatory framework & historical development of the Malaysian Code of Corporate Governance
  • Theories on business ethics
  • Ethical principles and issues related to ethics
  • Ethics & corporate social responsibility
 10.30am to 10.45am  Coffee Break
 10.45am to 12.30pm  Creating an Ethical Framework for the Capital Market  Services Industry
  • What does an ethical capital services industry look like?
  • Professional ethics, best practices and management of conflict of interest
  • Discussion: Is enforcement the right focus point?
  • Discussion: Ethical Issues in usage of Financial Technology (FinTech) and digitalisation of trading
 12.30pm to 1.30pm  Lunch
 1.30pm to 2.30pm  Update of Rules/ Directive/ Guidelines/Industry  Communication from Bursa / SC
  • Update of AMLA/AMLATFAPUA and case study on recent enforcement cases by Bursa and SC
  • Rules of Bursa Malaysia on Conduct of Business
  • Conflict of interest and risk management
  • Structures, internal controls, policies and procedures
  • Chinese wall and prevention of insider trading
  • Company internal policies on ethics, integrity and professionalism
 2.30pm to 3.45pm  Market Misconduct and Ethical Issues for Dealer  Representative and Issues
  • Industry Communications on Supervision of Trading and Electronic Trading (ICON-ST & ICON-ET)
  • Unauthorised trade and Misuse of Client Accounts
  • Sharing of User IDs and passwords
  • Front running, spoofing, stacking, wash order, marking the close, churning, rolling etc
  • Offences, liability and penalties
 3.45pm to 4.00pm  Coffee Break
 4.00pm to 5.00pm   Developing Successful Marketing Strategies
  • KYC, effective customer due diligence and customer risk assessment
  • Customer needs analysis and know your product
  • Application of Industry 4.0 concepts (Customization) in customer service and retention
  • Gaining a competitive advantage through Digital Marketing
  • Discussion: Value added service (Such as update to date knowledge of economy/ capital market outlook) vs Misconduct/ Mis-selling
  • Market Outlook

SPEAKERS' PROFILE

Dr. Ch’ng Huck Khoon, pursued his PhD studies in Finance at the Universiti Sains Malaysia (USM); He also holds a MBA (Finance) from the University of Stirling (UK), he is an Associate Member for Centre for Business and Management (CBM) University Tunku Abdul Rahman (UTAR). Dr. Ch'ng is the Independent Non-Executive Director and Chairman of Audit Committee of CNI Holdings Berhad and YGL Convergence Berhad and AT Systematization Berhad. All of which are listed on Bursa Malaysia Securities Berhad.

Mr. Pankajkumar Bipinchandra, graduated with Bachelor of Accounting with an Honors degree from University of Malaya and in 2014 also obtained an MBA in Finance from the same University. His last worked as the Director, Head of Corporate Strategy & Investments at a large conglomerate, a position he held between Oct 2012 and early June 2018. Prior to this, he was the Chief Investment Officer at Kurnia Insurans Malaysia Berhad between 2005 and 2012.

Clement Almaide A/L A M Francis, joined Malaysia Singapore Stock Exchange as a Trainee in 1972 and later Posting Clerk (Boardwriter). In 1973, due to the split within Exchange, transferred to the newly established Kuala Lumpur Stock Exchange as the previous position. He made the Floor Supervisor of the Kuala Lumpur Stock Exchange in 1983, supervising 350 Floor Traders and 15 Boardwriters. In 1987, he made the Head / Floor Manager supervising 500 Floor Traders and 50 Boardwriters / MASA Operators of the Kuala Lumpur Stock Exchange until August 1994, 22 years in service with the Exchange.