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Case Studies On Market Misconducts And Its Key Takeaways

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Securities Commission Malaysia
3, Persiaran Bukit Kiara, Bukit Damansara, 50490 Kuala Lumpur, Wilayah Persekutuan Kuala Lumpur, Malaysia
#Seminars and Talks Event #Training

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Details

HRDF Claimable

SIDC 10 CPE Approved

Over the years, the number of criminal prosecutions has risen in the capital market due to misconduct. In 2016 alone, the Securities Commission Malaysia (SC) has imposed a total of RM1.415 million administrative sanctions for various misconducts and breaches of securities laws.
 
‘Market misconduct’ as defined by regulators, includes activities such as insider trading, market manipulation, false trading, price rigging, disclosure of information about prohibited transactions and disclosure of false or misleading information. These conduct harms the interests and confidence of investors and potentially damages the reputation of the Malaysian capital market in the long run.
 
This one-day programme will examine interesting features and findings of major cases related to market misconducts, the enforcement process, penalties and the disciplinary actions imposed by regulators and its impact to organisations. It will also deliberate on the regulator’s expectations, the practical steps required to implement effective controls to prevent market misconduct and the key takeaways of the cases discussed.



TIMEDESCRIPTION
8.30 amRegistration
9.00 amMarket Misconduct Evolution
  • What is market misconduct?
  • Types of market misconduct and related offences
  • Drivers of misconduct and its effect  
  • Laws and regulations on market misconduct and related offences
10.45 amCoffee Break
11.00 amMarket Misconduct Cases: Headlines across the Globe
  • Insights and findings of market misconduct cases
    • Insider trading
    • Market manipulation
    • False trading
    • Price rigging
  • The cause, red flags and indicators
  • Enforcement process, penalties and disciplinary actions taken by regulators
  • Implications, lessons and key takeaways
1.00 pmLunch Break
2.00 pmMarket Misconduct Cases: Headlines across the Globe
  • Insights and findings of market misconduct cases
    • Disclosure of information about prohibited transactions
    • Disclosure of false or misleading information
  • The cause, red flags and indicators
  • Enforcement process, penalties and disciplinary actions taken by regulators
  • Implications, lessons and key takeaways
3.30 pmCoffee Break
3.45 pmBest Practices: Effective Measures and Controls to Prevent Market Misconduct
  • Effective governance, internal control and policies: Building an effective monitoring and surveillance programme
  • The gatekeepers: The roles and responsibilities of personnel
  • Addressing, dealing and escalating market misconduct situations and its challenges
  • Meeting regulatory expectations and requirements on market misconduct
5.00 pmEnd of Programme


(CLICK HERE TO GET MORE INFORMATION ABOUT THE PROGRAMME)

Location

Securities Commission Malaysia
3, Persiaran Bukit Kiara, Bukit Damansara, 50490 Kuala Lumpur, Wilayah Persekutuan Kuala Lumpur, Malaysia
Securities Industry Development Corporation (SIDC)
SECURITIES INDUSTRY DEVELOPMENT CORPORATION (SIDC) is the training and development arm of Securities Commission Malaysia (SC). It was established in 1994 and incorporated in 2007.SIDC has been a standard-bearer of quality and innovation for examinations, qualifications, talent development and capacity building for over two decades. Our mission is to raise the standard of capital market participants to support the rapid growth and development of the capital market industry through learning and development solutions, capacity building and professional certification, qualifications and continuous education. It also focuses on thought leadership, consultancy services and investor education for the capital market.In moving with the digital age, SIDC develops and organises training programmes for Malaysian and foreign regulators, company directors and market professionals as well as conducts public investor education seminars through virtual and online platforms, in addition to its face-to-face programmes.Further, SIDC develops, maintains and administers the Securities Commission Licensing Examination (SCLE) as part of the licensing regime for Malaysian capital market intermediaries under the SC. For more information, log on to www.sidc.com.my
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Securities Industry Development Corporation (SIDC)

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Securities Industry Development Corporation (SIDC)
SECURITIES INDUSTRY DEVELOPMENT CORPORATION (SIDC) is the training and development arm of Securities Commission Malaysia (SC). It was established in 1994 and incorporated in 2007.SIDC has been a standard-bearer of quality and innovation for examinations, qualifications, talent development and capacity building for over two decades. Our mission is to raise the standard of capital market participants to support the rapid growth and development of the capital market industry through learning and development solutions, capacity building and professional certification, qualifications and continuous education. It also focuses on thought leadership, consultancy services and investor education for the capital market.In moving with the digital age, SIDC develops and organises training programmes for Malaysian and foreign regulators, company directors and market professionals as well as conducts public investor education seminars through virtual and online platforms, in addition to its face-to-face programmes.Further, SIDC develops, maintains and administers the Securities Commission Licensing Examination (SCLE) as part of the licensing regime for Malaysian capital market intermediaries under the SC. For more information, log on to www.sidc.com.my
Scan & Share
http://t2u.asia/e/12898 

Case Studies On Market Misconducts And Its Key Takeaways

Securities Commission Malaysia
3, Persiaran Bukit Kiara, Bukit Damansara, 50490 Kuala Lumpur, Wilayah Persekutuan Kuala Lumpur, Malaysia
Seminars and Talks Event Training
0 Days
0 Hours
0 Minutes
0 Seconds

Event Expired

Ticket Information

HRDF Claimable

SIDC 10 CPE Approved

Over the years, the number of criminal prosecutions has risen in the capital market due to misconduct. In 2016 alone, the Securities Commission Malaysia (SC) has imposed a total of RM1.415 million administrative sanctions for various misconducts and breaches of securities laws.
 
‘Market misconduct’ as defined by regulators, includes activities such as insider trading, market manipulation, false trading, price rigging, disclosure of information about prohibited transactions and disclosure of false or misleading information. These conduct harms the interests and confidence of investors and potentially damages the reputation of the Malaysian capital market in the long run.
 
This one-day programme will examine interesting features and findings of major cases related to market misconducts, the enforcement process, penalties and the disciplinary actions imposed by regulators and its impact to organisations. It will also deliberate on the regulator’s expectations, the practical steps required to implement effective controls to prevent market misconduct and the key takeaways of the cases discussed.



TIMEDESCRIPTION
8.30 amRegistration
9.00 amMarket Misconduct Evolution
  • What is market misconduct?
  • Types of market misconduct and related offences
  • Drivers of misconduct and its effect  
  • Laws and regulations on market misconduct and related offences
10.45 amCoffee Break
11.00 amMarket Misconduct Cases: Headlines across the Globe
  • Insights and findings of market misconduct cases
    • Insider trading
    • Market manipulation
    • False trading
    • Price rigging
  • The cause, red flags and indicators
  • Enforcement process, penalties and disciplinary actions taken by regulators
  • Implications, lessons and key takeaways
1.00 pmLunch Break
2.00 pmMarket Misconduct Cases: Headlines across the Globe
  • Insights and findings of market misconduct cases
    • Disclosure of information about prohibited transactions
    • Disclosure of false or misleading information
  • The cause, red flags and indicators
  • Enforcement process, penalties and disciplinary actions taken by regulators
  • Implications, lessons and key takeaways
3.30 pmCoffee Break
3.45 pmBest Practices: Effective Measures and Controls to Prevent Market Misconduct
  • Effective governance, internal control and policies: Building an effective monitoring and surveillance programme
  • The gatekeepers: The roles and responsibilities of personnel
  • Addressing, dealing and escalating market misconduct situations and its challenges
  • Meeting regulatory expectations and requirements on market misconduct
5.00 pmEnd of Programme


(CLICK HERE TO GET MORE INFORMATION ABOUT THE PROGRAMME)

Location

Securities Commission Malaysia
3, Persiaran Bukit Kiara, Bukit Damansara, 50490 Kuala Lumpur, Wilayah Persekutuan Kuala Lumpur, Malaysia
 
Securities Industry Development Corporation (SIDC)
SECURITIES INDUSTRY DEVELOPMENT CORPORATION (SIDC) is the training and development arm of Securities Commission Malaysia (SC). It was established in 1994 and incorporated in 2007.SIDC has been a standard-bearer of quality and innovation for examinations, qualifications, talent development and capacity building for over two decades. Our mission is to raise the standard of capital market participants to support the rapid growth and development of the capital market industry through learning and development solutions, capacity building and professional certification, qualifications and continuous education. It also focuses on thought leadership, consultancy services and investor education for the capital market.In moving with the digital age, SIDC develops and organises training programmes for Malaysian and foreign regulators, company directors and market professionals as well as conducts public investor education seminars through virtual and online platforms, in addition to its face-to-face programmes.Further, SIDC develops, maintains and administers the Securities Commission Licensing Examination (SCLE) as part of the licensing regime for Malaysian capital market intermediaries under the SC. For more information, log on to www.sidc.com.my
Event Links
http://t2u.asia/e/12898 

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