Modules

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INVESTOR PROTECTION PROFESSIONAL CERTIFICATION (IPPC)

IPPC comprises four sections representing four study areas. At the end of the programme, candidates are required to sit for an examination, of which the passing mark is 70%.

Section 1: Market Structure

  1. Structure of the Malaysian Financial System
  2. Market Participants
  3. Regulatory authorities
  4. Perbadanan Insurans Deposit Malaysia (PIDM)

Section 2: Law & Regulations

  1. BNM: Financial Services Act 2013 (FSA)
  2. BNM: Islamic Financial Services Act 2013 (IFSA)
  3. SC: Capital Markets and Services Act 2007
  4. BNM/SC: Guidelines on Investor Protection (GIP)
  5. BNM: Anti-Money Laundering and Anti-Terrorism Financing Act 2001
  6. BNM: Anti-Money Laundering and Anti-Terrorism (AML/CFT) – Banking and Deposit-taking Institutions (Sector 1)
  7. SC: Guidelines on AML (Guidelines on Prevention of ML and TF for Capital Market Intermediaries)
  8. BNM: Malaysia Deposit Insurance Corporation Act 2011 & Guidelines on Disclosure of Deposit Insurance Information
  9. BNM: Guidelines on Introduction of New Products
  10. BNM: Guidelines on Product Transparency and Disclosures
  11. SC: Guidance Notes on Secondary Trading of FCY Denominated Debentures and FCY
  12. SC: Guidelines on Sales Practices of Unlisted Capital Market Products
  13. SC: Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework
  14. SC: Guidelines on Issuance of PDS and Sukuk to Retail Investors
  15. BNM: Foreign Exchange Administration Rules

Section 3: Know Your Client (KYC) and Financial Needs Analysis

  1. Understanding the Client (Know Your Client) and Due Diligence
  2. Risk Profiling and Client Suitability
  3. Fair Client Dealing and Misrepresentation
  4. Risk-Return Analysis
  5. Code of Conduct for Employees

Section 4: Products

  1. Debt Securities
  2. Structured Investments