Modules

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PROFESSIONAL QUALIFICATIONS IN REGULATORY COMPLIANCE (RC)

A. Certification in Regulatory Compliance

The following key topics are covered:

Module 1: Understanding the Regulatory Environment

  1. The Need for, and Objectives of, Regulation
  2. The Malaysian Regulatory Environment: Evolution of Financial Services Regulation in Malaysia
  3. The Malaysian Regulators and Their Powers
  4. Regulatory Principles and Sources of Regulation
  5. Independence, Transparency and Accountability of Regulators
  6. A Primer on the Prevention of Financial Crimes

Module 2: The Role of the Compliance Function

  1. Compliance Structure
  2. The Role of the Compliance Officer
  3. Key Compliance Activities and Processes
  4. Risk-Based Compliance Monitoring
  5. Investigating Compliance Breaches
  6. Preparing for and Managing a Regulatory Supervisory Visit
  7. Drafting Compliance Reports
  8. Managing Key Relationships
  9. Compliance, Culture and Ethics
  10. Training.

Module 3: Compliance in Practice

  1. Practical Considerations
  2. Compliance Oversight: Understanding Issues and Concerns
  3. Specific Internal Compliance Control Issues
  4. Governance, Risk and Compliance (GRC) Functions
  5. Risk Issues
  6. Managing Risk

Module 4: Corporate Governance, Creating a Compliance Culture and the Benefits of Compliance

  1. An Introduction to Corporate Governance
  2. Bank Negara Malaysia's (BNM's) Role in the Enhancement of Malaysia's Corporate Governance Regime
  3. The Malaysian Corporate Governance Regulatory Framework
  4. Creating an Effective Compliance Environment
  5. Sustainability, Reputation, and Ethical Practices
  6. Financial Reporting in Malaysia

B. Advanced Certification in Regulatory Compliance

The following key topics are covered:

Module 1: Malaysian Regulation and the Regulatory Environment

Unit 1: Understanding the Regulatory Environment

Unit 2: Approaches to Regulation

Unit 3: Regulatory Requirements in Malaysia

Module 2: The Compliance Function

Unit 4: The Role of Compliance Officer

Unit 5: Risk Management

Unit 6: Designing an Effective Governance, Risk and Compliance System

Module 3: Managing Compliance in Practice

Unit 7: Dealing with Regulatory Issues and Enforcement Action

Unit 8: Prudential Regulation

Unit 9: Corporate Governance, Creating a Compliance Culture and the Benefits of Compliance

Unit 10: Advising Business Units on Regulatory Compliance Matters

Module 4: Financial Crime Compliance

Unit 11: Managing the Risk of Financial Crime