2017 EDUCATION PROGRAM FOR REPRESENTATIVES OF PARTICIPATING ORGANISATIONS AND TRADING PARTICIPANTS - "CONDUCT OF REPRESENTATIVES"
ATTENDANCE FEE & REGISTRATION
Free of charge
Download the Registration Form to register for the course.
Kindly email or fax or WhatsApp or WeChat the registration form to Ms Joanne: H/P or WhatsApp: 017-4187 988 Email: firstname.lastname@example.org / email@example.com WeChat: chkcpeseminar Fax: 03-76104234
Dealer’s Representatives, Futures Broker’s and Registered persons of Participating Organisations / Trading Participants
VENUES & DATE
|Kuala Lumpur / Bursa Malaysia||25.3.2017||Penang /The Wembley Hotel||5.8.2017|
|Ipoh / The Haven Resort Hotel||8.4.2017||Melaka /Hatten Hotel||12.8.2017|
|Johor Bahru / Thistle Hotel Johor Bahru||22.4.2017||Kuala Lumpur / Bursa Malaysia||19.8.2017|
|Kuching / Hilton Hotel||29.4.2017||Kuantan / The Zenith Hotel||9.9.2017|
|Kota Kinabalu /Le Meridien Hotel||29.07.2017||Kuala Lumpur /Bursa Malaysia||14.10.2017|
- Create awareness on regulatory issues, 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 instil 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 both the SC and Bursa.
- Understanding CMSA 2007 and Bursa Rules on market misconduct activities and KYC.
- To explain the step-by-step how to get to Know Your Client.
- To state the purpose, objectives, key characteristics of the CMSA 2007 and Bursa Rules on insider trading, Know Your Clients and market misconduct activities.
SIDC - CONTINUING PROFESSIONAL EDUCATION (CPE)
This seminar is SIDC Accredited and carries 5 CPE points
|8.30am to 9am||Registration|
|9am to 10.15am||Advantages of Know Your Client (KYC) and Customer Due Diligence|
|10.15am to 10.30am||Coffee Break|
|10.30am to 12.15pm||Market Surveillance, Market Misconduct and Unethical Market Conduct, Ethics and Conflict of Interest (COI)|
|12.15pm to 1.00pm||Requirements of Bursa, SC & BNM|
|1.15pm to 2pm||End and Lunch|
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), a Certified Financial Planner, he is an Associate Member of The Institute Of Chartered Secretaries and Administrators (ICSA) and 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.