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Operations and Compliance

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1. Anti Money Laundering (Malaysia) Version 1.0 - A Library of 3 Courses

1. What is Money Laundering

What is Money Laundering This course explains money laundering and how money is laundered through various schemes. This helps the user to understand:

The definition and process of money laundering
Different stages of money laundering
Preventive measures against money laundering

2. International Initiatives

International Initiatives This course explains the initiatives undertaken by various International organizations in preventing money laundering and combating terrorism. So the user will be able to comprehend:

The measures undertaken by various international organizations to prevent money laundering and financing of terrorism
Establishment of FATF and its fight against money laundering and terrorism financing
Know your Customer polices and procedures

3. Malaysian Initiatives

Malaysian Initiatives This course explains the initiatives taken by Malaysia to counter money laundering and terrorism financing with the understanding of other relevant regulations. It facilitates the user to understand:

The steps taken by Malaysia to counter money laundering and Malaysian Anti-money Laundering and Anti-Terrorism Financing Act 2001 and other relevant regulations.
The Malaysian Financial Intelligence Unit
Asia/Pacific group on Money laundering (APG)

Exercises

Legislations

Case Studies

2. Financial Privacy - A Library of 6 Courses

1. Financial Privacy Regulation

This course essentially deals with the introductory part of the privacy regulation. It helps the user understand:

Persons/institutions that are required to comply with the regulation
Persons protected under the regulation
Protected category of information
Restrictions placed on information sharing

2. Privacy Notices and their Content

This course elucidates the different privacy notices as specified in the privacy regulation. It helps the user understand:

The three notices
Content of each notice
Modes of delivery of notices

3. Exceptions to the Rules and Reuse of Information

This course clarifies the exceptions to the notice requirements under the privacy regulation along with the provision, which enable financial institutions to reuse the gathered information. It helps the user understand:

The circumstances under which privacy notice can be dispensed with such as joint agreements, processing and servicing, etc.
The situations under which financial institutions may reuse information

4. Exam Procedures

This course enumerates the exam procedures concerning compliance with privacy regulation. It helps the user understand:

The six different modules provided in the exam procedures
The criteria to be adopted for selecting the relevant module by each institution

5. Security Guidelines

This course simplifies the security guidelines meant for protecting customer information. It helps the user understand:

The applicability and objective of the security guidelines
Responsibilities of the board and management in this regard

6. Section 501-b of the GLB Act and the Management

This course specifies the management responsibilities as directed under the Gramm Leach Bliley Act. It helps the user understand the management responsibilities pertaining to:

Risk Control Practices
Training Programs
Monitoring Information Security
Reporting Requirements
Outsourcing

Privacy Acts Regulations Policies

3.Corporate Governance - A Library of 9 Courses

1. Overview

This course is a curtain raiser to the corporate governance course group. It helps the user understand:

Basics of corporate governance including its meaning
Relationship of corporate governance with competition, reputation and responsibility
Advantages of incorporating good corporate practices
Issues that advance the scope of corporate governance

2. Models and Mechanisms

This course identifies different models and mechanisms of corporate governance prevailing in different countries.Topics covered include:

Anglo-American shareholder wealth maximization model
Corporate wealth maximization model
Shareholder, Stakeholder and Political models
Japanese model
German model
The role of mechanisms in protecting the shareholders interest

3. Shareholders and Stakeholders

This course expounds the investor’s rights and responsibilities in ensuring smooth functioning of the corporate arrangement. It helps the user understand:

Corporate management and the exclusion of shareholders for justifiable reasons
Shareholder rights and responsibilities towards the corporation
The significance of ensuring stakeholders rights

4. Board of Directors

This course distinguishes the different board structures followed by various corporations. It helps the user understand:

Different modes of board selection and evaluation
The position and responsibility of the board vis-à-vis management
Composition and duties of various board committees

5. Audit Committee

This course, based on the Blue Ribbon Committee Report, deals with the audit committee of the board. It helps the user understand:

The importance of audit committee in the scrutiny of corporation’s audit and incidental matters
The organization of audit committee, its responsibilities and its relationship with auditors and management of the corporation

6. Banking Corporate Governance

This course, based on the Basel Committee Recommendations for enhancing banking transparency, deals with corporate governance in banking sector.Topics covered include:

Sound corporate governance practices for banks
Role of public disclosure in promoting safety and soundness in banking

7. Corporate Scandals

This course is based on the case studies of companies such as General Motors, American Express, Enron and WorldCom. It helps the user understand:

The manner in which the directors exercise their fiduciary duties while the management runs the day-to-day business
Instances of abuse of power and authority by the persons who are bestowed with the same
Reasons for the bankruptcy of the leading corporate entities

8. Best Practices

This course depicts the best practices vis-à-vis Infosys Technologies and Sony. It also enumerates a list of best boards as evaluated by a leading group. It elaborates on:

Management ethics and practices of Sony, a success story in electronic consumer goods
Board and management structure of Infosys Technologies, a success story in software technology

9. Corporate Responsibility

This course summarizes the US Sarbanes-Oxley Act 2002 and the consequent regulations including the UK Corporate Responsibility Act 2002. It helps the user understand:

Regulatory measures to plug fraudulent accounting practices
Organization of regulatory bodies
Other regulatory measures relevant to good corporate governance

Corporate Governance Principles and Recommendations

Legislations and Regulations