Examination Guides (M9 – Fund Management Regulation) Law of Malaysia Act 671 Act 453 Act 498 Programme Objective: This course equips participants with comprehensive understanding and knowledge based on their good understanding from module 9 study outline. Participants expected to advance their knowledge and comprehension further via an interactive teaching and learning experience while increasing their confidence in sitting for the examination. This course will be facilitated by an experienced and qualified trainer. Programme Overview This 2 ½ -day course is designed to match the licensing study outline for Module 9 on funds management regulation. It covers the comprehensive introduction to fund management, regulatory structure, fund management industries, licensing requirements, compliance and corporate governance relating fund management. Who Should Attend Candidates preparing for the Module 9 Licensing Examination New entrants to the capital market industry and staff of investment banks Read more Strengthening the Fund Management Industry: The fund management sector is a pivotal contributor to the Malaysian economy, serving as a cornerstone for the efficient allocation of capital to productive resources and fostering wealth accumulation for investors. The evolution of investment preferences and the dynamic nature of industry players has been a primary driver behind substantial growth in AUM, contributing to a diversified landscape in terms of product offerings and intermediation capabilities... Learn more Funds Management Regulation Program Agenda 1. The Fund Management Industry in Malaysia 2. Laws and Organisation Regulating the Fund Management Industry 3. The Law of Contract 4. Negligent Misstatement 5. Relationship between Fund Management Company and Client 6. Licensing handbook and Securities Offences (Licensing Handbook and CMSA 2007 7. Conduct of a Fund Management Company’s Business 8. Compliance 9. Topical Issues in Funds Management Regulation 10. SC’s Guidelines relating to fund management Reference Materials 1. eGuide Module 9: Funds Management Regulation (First Edition 2022) 2. Capital Markets and Services Act 2007 3. Securities Commission Malaysia Act 1993 4. Licensing Handbook 5. Guidelines – refer to next slide SC’s Guidelines 1. Guidelines on Compliance Function for Fund Management Companies 2. Guidelines for Public Offerings of Securities of Closed-end Funds 3. Guidelines on Conduct for Capital Market Intermediaries 4. Guidelines on Prevention of Money Laundering and Terrorism Financing for Reporting Institutions in the Capital Market 5. Guidelines on Implementation of Targeted Financial Sanctions Relating to Proliferation Financing for Capital Market Intermediaries 6. Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework & Lodgement Kit 8. Guidelines on Sales Practices of Unlisted Capital Market Products 7. Guidelines on Unit Trust Funds 9. Guidelines on Exchange-Traded Funds 10. Guidelines on Islamic Capital Market Products and Services 11. Guidance Note on Managing Environmental, Social and Governance Risks for Fund Management Companies Note: Frequently-asked questions - SC GUIDELINES Frequently-asked questions - FUND MANAGEMENT Frequently-asked questions - GUIDELINES ON COMPLIANCE FUNCTION FOR FUND MANAGEMENT COMPANIES Frequently-asked questions on CMSA 2007 Frequently-asked questions on Licensing Handbook Frequently-asked questions on single licensing regime - Licensing handbook CMSA 2007 - Schedule II (Fees payable to Security commission) Coverage/Exam Weightage Section (Slide) Composition of Questions (Max) Number of Question (Max) Related Topics 1Topic 1&2 20% 6 1. The Fund Management Industry in Malaysia 2. Laws and Organisation Regulating the Fund Management Industry 2Topic 3,4,5&7 40% 11 3. The Law of Contract 4. Negligent Misstatement 5. Relationship between Fund Management Company and Client
