This programme is designed as a refresher course for CMSRLs or ERPs who would like to refresh themselves in funds management regulation.  Apart from this, the programme also serves to support those preparing to sit for the Securities Commission Licensing Examination (SCLE) Module 9 on Funds Management Regulation.  It’s highly recommended that participants put in a minimum of 120 self-study hours using study aids such as SCLE Module 9 e-guide, practice set questions, reading list and latest market updates for maximum benefit and reinforced learning.

By the end of this programme, participants will be able to:

1.recognise the fund management industry and its significance to the Malaysian economy

2.outline the regulatory structure of the funds management industry in Malaysia

3.identify the main laws, regulations and guidelines governing the operation of the funds management industry in Malaysia

4.distinguish the relationship between a fund management company and its client

5.explain the duty and standard of care applicable to a fund management company

6.describe the licensing requirements of fund management companies and their representatives

7.discuss various securities offences and how they are regulated

8.explain the purpose of an Investment Management Agreement and Investment Mandate

9.explain the compliance and its significance to a fund management company

10.discuss corporate governance and other issues affecting a fund management company