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Compliance Essentials for Asset Management

Fund management compliance rarely fails on a headline rule. It fails on the daily practices around it: a suitability assessment recorded too thinly, a marketing deck that outran the prospectus, a personal account trade nobody declared, a fee calculation that quietly drifted from the mandate. This day works through the obligations a Malaysian asset management operation carries and the controls that keep them met when the desk is busy.

Programme Agenda

The Regulatory Perimeter

Licensing and registration obligations, permitted activities, conditions attaching to the licence, and the notification duties triggered by changes in key personnel, shareholding or business model.

Client Assets and Segregation

Custody arrangements, segregation requirements, reconciliation frequency and breaks. What a client asset breach looks like before anyone notices it is one.

Suitability and Client Onboarding

Client classification, risk profiling, mandate documentation and the suitability assessment record. Handling a client who wants something outside their profile.

Marketing, Distribution and Disclosure

What can be said about performance, the treatment of projections and past returns, approval of marketing material, and the rules that apply when distribution runs through third parties.

Conflicts of Interest and Personal Account Dealing

Identifying conflicts across allocation, soft commissions, related party transactions and cross trades. Personal account dealing policy, pre-clearance and the monitoring that makes it real.

Trade Practice and Best Execution

Order handling, allocation fairness, error correction and the documentation of an execution decision. Why allocation disputes are the ones that reach the regulator.

Reporting, Records and Breach Handling

Periodic regulatory submissions, record retention, and the internal process for identifying, escalating and reporting a breach. Self-reporting decisions and their consequences.

Compliance Monitoring Programme

Participants build a monitoring plan: what to test, how often, sample sizes, and the reporting format that gets attention from a board rather than filed.

Learning Outcomes:
State the licensing conditions and notification duties your operation carries
Operate client asset segregation and reconciliation to standard
Document a suitability assessment that supports the mandate given
Approve marketing material against the disclosure rules
Identify and manage conflicts of interest including personal account dealing
Apply fair allocation and defensible best execution practice
Handle a breach from identification through to reporting
Build a compliance monitoring programme sized to your operation

Duration: 1 Day (8 Hours)
Training Hours: 9:00 AM to 5:00 PM
Level: Beginner
Training Mode: Physical, Online, or Hybrid
HRD Corp SBL-KHAS Claimable
Certificate of Completion included

Frequently Asked Questions

Compliance officers, operations managers, portfolio and dealing staff, risk officers, internal auditors and directors at fund management companies, unit trust management companies, digital investment managers and private mandate operations.

Yes. The condensed half-day covers the regulatory perimeter, client assets, suitability and conflicts, and drops the trade practice and monitoring programme modules. Most organisations that start with the half-day send their compliance staff back for the full day within the year.

The core obligations covered apply to both conventional and Islamic fund management. Shariah governance requirements are noted where they add an obligation but are not treated in depth; that is a separate subject.

Yes. For in-house delivery we work from your compliance manual, monitoring plan and breach register, so the monitoring programme workshop produces something you can put straight into use.

Yes, this programme is HRD Corp SBL-KHAS claimable. Our team can assist your HR department with the documentation required for the grant application.

Yes. Any programme can be booked as a team day. Everyone works the same brief together, so your people come away having built something and knowing each other better.

If you are claiming under HRD Corp, the session has to fall at least 14 days after your HRD Corp approval. If you are not claiming, the date is flexible and we work around your calendar.

Put them on the self-paced e-learning instead. Your team works through the modules on our LMS in their own time, sits the assessment, and earns the same certificate, so nobody has to clear a full day together.

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