Conduct in Wholesale Financial Markets

14 July 2021

Learning Level
Intermediate
Fee
MIBA Member : RM500
Non-MIBA Member : RM650
Accreditation
SIDC 10 CPE Points
AICB 3.5 CPD Hours
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Overview

ABOUT THE PROGRAMME
Market participants in the wholesale financial markets, whether the sell-side or the buy-side, or across various money markets and foreign exchange products, are required to adopt the standards in the Code of Conduct for Malaysia Wholesale Financial Markets issued by Bank Negara Malaysia (BNM) on 22 April 2020. Upholding integrity and professionalism in the conduct of market participants’ business, affairs and activities, including all aspects of treasury operations is necessary to preserve a reputable, ethical and honest market place. Any financial market misconduct or breaches of the relevant guidelines would result in a contravention of the Financial Services Act 2013 or Islamic Financial Services Act 2013.

As wholesale financial markets continue to evolve, market conduct and practices should be reviewed and updated to maintain the highest standards of integrity. Market participants are also required to ensure their employees carrying out permitted activities comply with the Guidelines on Investor Protection issued by BNM and the Securities Commission including the minimum ‘fit and proper’ criteria, examination requirements and continuing professional education requirements to promote confidence in the capital market.

This webinar will provide insights of the code of conduct and practices of the Malaysian wholesale financial markets as well as globally accepted minimum standards of conduct including the Model Code issued by ACI Financial Markets Association. The eligibility requirements, prohibited activities, and duties and responsibilities of dealers and brokers will also be discussed together with the fit and proper criteria and obligations of employees of registered persons. In addition, the Foreign Exchange (FX) Global Code (FX Global Code)’s leading principles such as ethics, governance, risk management and compliance will be examined to manage and mitigate risks from FX business activities for the effective functioning of wholesale markets.

LEARNING OBJECTIVIES
– Review the code of conduct, practices and globally accepted minimum standard of conduct for Malaysia’s Wholesale Financial Markets and the role of dealers and brokers to preserve a reputable, ethical and honest market place.
– Analyze the eligibility requirements, prohibited activities and responsibilities of dealers and brokers in order to perform their duties in a professional and ethical manner.
– Review the fit and proper criteria for dealers and brokers and the relevant requirements of the Guidelines on Investor Protection and take necessary actions to meet the obligations of a registered person.
– Examine the FX Global Code and its expectations of market participants to promote the integrity and effective functioning of the wholesale FX markets.

WHO SHOULD ATTEND
– Treasury Dealers & Brokers and Middle & Back Office Staff
– Risk Management Practitioners
– Compliance Officers
– Individuals interested to understand conduct in wholesale financial markets

SPEAKER
Mr Yeo Chin Tiong
Trainer

FEE
MIBA Member : RM500.00 per participant
Non-MIBA Member : RM650.00 per participant
*10% discount applies for group registration of 5 or more from the same organisation

The closing date for the registration is on Wednesday, 7 July 2021.

REGISTRATION IS CLOSED

 

TERMS AND CONDITIONS

Payment
Full payment to the following bank account is required with registration, at least one (1) week prior to the date of the programme :
Pay to: MALAYSIAN INVESTMENT BANKING ASSOCIATION
Account No: 8881003952559
Bank Details: AmBank (M) Berhad
Bangunan AmBank Group,
No. 55, Jalan Raja Chulan,
50200 Kuala Lumpur

Please e-mail payment advice to ipay@miba.com.my and state the Invoice No.

Cancellation / Substitution
Cancellations or refunds within one (1) week from the date of the programme will NOT be entertained. Non-attendance does not constitute cancellation and no refund will be given. Substitute(s) will be accepted provided forty-eight (48) hours prior written notice is received.

Data Protection
Personal data is gathered in accordance with the Personal Data Protection Act 2010 (Act 709).

Disclaimer
MIBA reserves the right to change the date, speaker, course contents and programme or cancel the programme in the event of circumstances beyond our control.

For more queries, kindly email education@miba.com.my or contact us at +603-27113992.

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