In this evolving age, financial intermediaries and their clients feel the need for greater transparency and control in the market. Ethics is the prevalent theme. Some key concepts and issues that can be worked on are, information barrier sometimes otherwise known as the Chinese Wall which is the offer of protection against the conflict of interests of both parties, and the prevention of financial crimes. The Chinese Wall is the concept of an ethical wall regulating and safeguarding communication of information between both parties. It is commonly employed in investment banks between corporate-advisory area and brokering departments. Due to the complexity of financial systems, it is often difficult to detect and prevent fraud and abuse of positions. As such, it is important to increase awareness of what’s going on in financial markets.
Participants will be able to:
|8:30 – 9:00 am||Registration|
|9:00 – 9:45 am||Regulatory Framework and Roles of Market Intermediaries
|9.45 – 10.00 am||Coffee break|
|10:00- 11:30 am||Insider trading
|11:30- 1:00 pm||Conflict of Interest
Definition, Possibilities of conflict of interest, Opportunities for conflict of interest, Detection and prevention of conflict of interest, Management of conflict of interest, Reporting on conflict of interest.
|1:00 – 2:00 pm||Lunch Break|
|2:00 – 3:30pm||Information Barriers within Investment Banks
Definition of material price sensitive information (Inside Information) and confidential information, Possible leakage of inside information and confidential information, Information that is considered price sensitive, Potential risks and Consequences of inside information leakages to investment banks, Recommended features and controls of Chinese
|3:30 – 3:45 pm||Coffee Break|
|3:45 – 5:00 pm||Case Study
|5:00 – 5.30 pm||Q & A|
|Session 1 : To test the understanding on roles and responsibilities of the market intermediaries
Session 2 : To test the theories of insider trading liability
Session 3 : To test the understanding of conflict of interest concept
Session 4 : To test the understanding of barries within the investment bank
Bee Seng has over 32 years of experience in the financial markets and services industries, which included stints as the Head of Research and sell-side analyst for a British stockbroking and investment banking firm. He has also worked as Head of Equities/Dealer for several stockbroking firms and was the Chief Investment Officer of a local asset management company. His more recent experience centered on wealth management and financial planning. Besides working predominantly in Malaysia, he has had working stints in Hong Kong and London. Bee Seng has conducted numerous high-profile speaking arrangements and training sessions for various insurance, unit trust, and fund management companies.
He has held and/or currently still active capital market services representative licenses (CMSRL) in securities dealing, fund management, financial planning, and marketing representative with the Securities Commission of Malaysia (SCM). Bee Seng is well versed in a multitude of financial products and markets. His multi-faceted approach and deep understanding coupled with many years of experience and networking in the region will contribute significantly to any organisation.
He graduated with a Bachelor (BBA) and Master of Business Administration (MBA) in Finance (University of Houston), Texas, USA.
Each digital programme is the equivalent of a day’s CE Workshop training for approximately 8 hours. With the lunch break in between, the digital programme will usually take place for 6 hours.
Yes, you may. However, you will not be granted full points from respective parties.
We accept payment by credit card (VISA / MasterCard / AMERICAN EXPRESS / Discover), by FPX (Affin Bank, Alliance Bank, AmBank, Bank Islam, Bank Muamalat, Bank Rakyat, BSN, CIMB Clicks, Hong Leong Bank, HSBC Bank, KFH, Maybank2E, Maybank2U, OCBC Bank, Public Bank, RHB Bank, Standard Chartered, UOB Bank).
Your data will be handled confidentially and encrypted with SSL (Secure-Socket-Layer) secure server software. The encrypted information of your order, your name, address, credit card or bank details cannot be read by any third party. Credit card payments will also be verified through the 3D secure procedure.
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