Module 1 Essentials of Capital Market Regulations - Intermediaries and Conduct
Laws & Regulations
The last date for REGISTRATION is on 01 June 2023
Securities Industry Development Corporation
Visualise on Google MapsNo.3, Persiaran Bukit Kiara,
Bukit Kiara W.P Kuala Lumpur 50490
Malaysia
+60362048667
sidc@sidc.com.my
Terminal Objective:
By the end of this module, participants will be able to determine the roles and functions of regulators and intermediaries and the applicable rules and regulations relevant to capital market products and services.
Enabling Objectives:
- Describe the roles and functions of the relevant regulatory bodies related to capital market activities
- Explain the regulatory requirements applicable to specific regulated activities
- Outline products, rules and regulations pertaining to derivatives
- Distinguish capital market activities that are allowed and restricted, including limitations for the allowed activities
- Monitor trades and activities in accordance with applicable procedures and regulations
*The SIDC reserves the right to amend the programme as deemed appropriate without prior notice