2020 ADVOCACY PROGRAM FOR REPRESENTATIVES OF PARTICIPATING
ORGANISATIONS AND TRADING PARTICIPANTS - TRADING PRACTICES AND PRODUCTS
KNOWLEDGE TO PROMOTE MARKET INTEGRITY
Programme Contents
Trading Practices and Products Knowledge to Promote Market IntegrityTraps
- High Standards of • Ethics and Governance Business
Conduct
- Ethics and Governance
- Professional ethics, best practices and management of conflict of interest
- Clients’ assets protection
- KYC/Due Diligence/AMLATFPUAA
- Customer authentication & obtaining essential information
- Customer Risk Assessment
- On-going clients due diligence
- Client services and retention
- Cyber Security
- Identity and user management
- Password management policies
- Controls on session timeout
- Cyber security culture
- Market Misconduct
- Trade Based Manipulation - Volume, Price and Order Book
- Front running, spoofing, stacking, wash order, marking the close, churning, rolling etc
- Information Based Manipulation - Inaccurate/ Exaggerated/ Misleading/ False Information and Usage of Unverified Information
- Manipulative Scheme
- Pump and Dump, Cornering the market etc
- Social Media/ Internet Platform - WhatsApp Group, Telegram, WeChat, Blogs etc
- Organised Networks (Syndicates) - Substantial shareholders and proxies, Dealers (multiple accounts at various brokers)
- Complex Operations - Multiple jurisdictions e.g. operating through omnibus account via Singapore, Hong Kong, Off-Shore
- Unauthorised usage of clients’ account
- CMSA & Rules of Bursa Malaysia on offences, liability and penalties
- Case studies
Trading Strategies Using Alternative Investment Products & Services
- Leveraged & Inverse ETF
- Trends in ETF Industry
- How can this instrument be used to hedge positions & take
advantage of market movements?
- What is Exchange Traded Bonds?
- How to trade Bonds like a Quant
- How to enjoy stable returns using Bonds
- Corporate Action
- Types of Corporate Actions
- Zooming into Share Consolidation - issues and concerns
Target Audience
Dealer’s Representatives of POs and Futures Broker’s Representatives of TPs. The participants will be accredited with 10 CPE points by SIDC and are only required to attend ONE webinar session and completing the full assessment processes which are prepared by the Training Provider.
Tentative Programme Schedule
| Date | Session 1 (9.00am - 12.30pm) | Session 2 (2.00pm - 5.30pm) |
|---|---|---|
| 05th Sep 2020 | Group A | Group B |
| 12th Sep 2020 | Group C | Group D |
| 19th Sep 2020 | Group E | Group F |
| 26th Sep 2020 | Group G | Group H |
*** Please be reminded that each program is limited to a maximum of 100 participants per session on a first-come-first-served basis.
The Organiser
The Appointed Training Provider
Registration is FREE
Kindly complete the attached form and return the same via email to cpeseminar@chkconsultancy.com.my / Joanne@chkconsultancy.com.my. Registration will commence on Wednesday, 5 August 2020.