Wholesale Market Conduct Risk
28 July 2022
Non-MIBA Member : RM800
AICB 4 CPD Hours
ABOUT THE PROGRAMME
Bank Negara Malaysia (BNM) had issued the Wholesale Market Conduct Practices and Guidance Document on 31 December 2021 aimed at providing guidance on managing conduct risks arising from wholesale financial markets activities. Financial institutions (FIs) are required to maintain adequate oversight of staff conduct and implement mechanisms to manage market misconduct. Periodic reviews of market conduct practices and controls must also be undertaken by FIs to ensure robust internal controls in order to mitigate wholesale market conduct risk.
This webinar will provide insights in the role of FIs in managing conduct risks arising from their treasury dealers’ activities through effective trade and communications surveillance programs to preserve market integrity. The structure and set up of treasury departments as well as segregation of duties among treasury staff will be discussed together with the eligibilities and responsibilities of dealers and their methods of dealing among market participants.
The webinar will also provide participants an understanding of conduct risk identification, assessment and how traded financial products are vulnerable to misconduct. In addition, the institution’s internal control environment will be reviewed in order to preserve an ethical and honest market place from market misconduct.
- Review the treasury dealing room structure and segregation of duties between front, middle and back office
- Analyze dealers’ eligibilities, responsibilities in preserving a reputable, ethical and honest market place and methods of dealing among market participants
- Assess conduct risks on financial products traded and susceptibility to different types of misconduct
- Review the internal control environment to mitigate exposure to conduct risks and the roles played by the business unit, risk, compliance and internal audit departments
WHO SHOULD ATTEND
- Treasury Dealers & Brokers and Middle & Back Office staff
- Risk Management Practitioners
- Compliance Officers
- Internal Auditors
- Individuals interested to understand market conduct risk
Mr Yeo Chin Tiong
MIBA Member : RM600.00 per participant
Non-MIBA Member : RM800.00 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, 21 July 2022.
TERMS AND CONDITIONS
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 firstname.lastname@example.org 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.
Personal data is gathered in accordance with the Personal Data Protection Act 2010 (Act 709).
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 email@example.com or contact us at +603-27113991/3992.