Course Information
Date :
Time :
Duration : 3 hours
Accredetation :
SIDC CPE points: 10 CPE points
Learning Outcome
Upon completion of the above programme, participants will be able to:
- Appreciate the importance of code of ethics and its role in safeguarding the financial service providers in the capital market.
- Comply with Bank Negara Malaysia and Securities Commission Code of Ethics and Corporate Governance Guidelines including application of Guidance Notes: Code of Ethics For Financial Service Industry and Financial Services Act 2013 (FSA 2013).
- Examine the need for “integrity” towards improving privacy standards in the capital market to reduce market misconducts.
BNM Code of Ethics & Corporate Governance
- Ethical Principles & Standards
- Conflict of Interest & Misconduct
- Fit & Proper Requirements Under FSA 2013
- 14 Principles of Corporate Governance
Guidance Notes On Code of Ethics For Financial Services Industry (FSI)
- Principle 1: Competence
- Principle 2: Integrity
- Principle 3: Fairness
- Principle 4: Confidentiality
- Principle 5: Objectivity
Course Content
Upholding “ethical principles” from the regulators perspective and key provisions on ethics and corporate governance in the capital market
The role of ‘integrity’ and ‘business’ defined and how does market misconduct arises due to “profitability” mind set.
Is ‘integrity’ important in the financial market business? Case Study : Aman Shah – Hock Hua Bank (1991).
Liberalization of the financial sector and its impact on compliance and enforcement specifically in the capital market. Case Studies: Enforcement cases by Securities Commission and Bursa Malaysia.
Integrity failures case studies in financial institutions
Integrity failure case studies in the corporate sector
Do we need “code of ethics” in the banking institutions? Case study: Citibank Indonesia (2011).
Malaysian Regulators Standard On Code of Ethics