A focused compliance training programme designed for asset management professionals, covering five critical regulatory and ethical obligations under Malaysian law. The programme references the relevant regulatory frameworks applicable to capital market intermediaries, including the Capital Markets and Services Act 2007 (CMSA), applicable Securities Commission Malaysia (SC) guidelines and requirements for capital market intermediaries, SC AML/CFT guidelines applicable to reporting institutions in the capital market, Personal Data Protection Act 2010 and 2024 amendments, and the MACC Act 2009 including Section 17A.
The programme incorporates practical Malaysian case studies and workplace scenarios to reinforce regulatory requirements and encourage practical application. Content can be tailored based on the participants' roles and level of compliance knowledge.
HRD Corp SBL-Khas Claimable
9:00 AM – 9:15 AM
Welcome and Programme Overview
Introduction to the session, objectives, and housekeeping.
9:15 AM – 9:45 AM
Anti-Money Laundering, Counter Financing of Terrorism and Proliferation Financing (AML/CFT/TF/PF)
An overview of Malaysia's AML/CFT/TF/PF framework under AMLA and applicable SC AML/CFT guidelines for reporting institutions in the capital market. Participants will gain an understanding of their obligations as employees of a regulated entity, how to identify suspicious transactions and red flags, customer due diligence requirements, internal reporting procedures, and the consequences of non-compliance for the organisation and individual staff.
9:45 AM – 10:15 AM
Conflict of Interest
Understanding what constitutes a conflict of interest in an asset management and capital markets context, how to identify direct and indirect conflicts, and the procedures for declaration and management. References applicable SC guidelines and industry good practices for managing conflicts of interest, covering gift and entertainment policies, personal account dealing, and the consequences of undisclosed conflicts in a fiduciary environment.
10:15 AM – 10:25 AM
Break
10:25 AM – 10:50 AM
Managing Non-Public Information (MNPI)
An awareness-level module on identifying, handling, and protecting material non-public information in a capital markets setting. Covers the legal boundaries between legitimate research and insider information, information barrier protocols, the consequences of misuse under the CMSA 2007, and practical workplace scenarios relevant to investment management operations.
10:50 AM – 11:20 AM
Personal Data Protection Act 2010 (PDPA) and 2024 Amendments
An overview of PDPA obligations applicable to organisations handling client and employee personal data within the asset management industry. Covers the seven Personal Data Protection Principles, recent 2024 amendments, data subject rights, breach notification obligations, and practical steps staff must take in day-to-day operations to remain compliant.
11:20 AM – 11:50 AM
Section 17A of the Malaysian Anti-Corruption Commission Act 2009 (Corporate Liability)
What Section 17A means for your organisation, its directors, and associated persons. Covers the corporate liability provision, the T.R.U.S.T adequate procedures framework, corruption risk scenarios relevant to asset management, and the steps employees must take to support a defensible compliance culture.
11:50 AM – 12:30 PM
Practical Scenarios and Group Discussion
Workplace-based scenarios drawn from all five modules. Participants apply knowledge to realistic compliance situations relevant to their roles.
12:30 PM – 12:50 PM
Knowledge Assessment
10 to 15 question assessment covering all modules.
12:50 PM – 1:00 PM
Wrap-Up and Q&A
Key takeaways, next steps, and close.
Asset management professionals including Compliance Officers, Investment Analysts, Fund Managers, Relationship Managers, and Operations Staff. Also suitable for HR personnel and management with oversight responsibility for compliance and business conduct.
Level Awareness, suitable for all staff regardless of role or seniority
Duration Half-Day (4 Hours) | 9:00 AM to 1:00 PM
Training Mode Online (Live Instructor-Led)
Venue Delivered via the client's preferred platform (Microsoft Teams, Zoom, or equivalent)
Assessment 10 to 15 question knowledge assessment covering all modules
Certificate Certificate of Completion issued to all participants upon full attendance
HRD Corp Claimable Yes, SBL-Khas scheme
