Wednesday, 11 November 2026
PLVA-0007-R002
9:00 am – 5:30 pm
7 training hours, excluding breaks
8:30 am – 9:00 am
Mr. Primus Lim
Emspaced @ KL Sentral, Menara Allianz Sentral, Level 23A, Menara Allianz Sentral, 203, Jalan Tun Sambanthan, Brickfields, 50470 Kuala Lumpur.
Alternative venue: WORQ Menara 1 Sentrum @ KL Sentral, Level 20, Menara 1 Sentrum, 201, Jalan Tun Sambanthan, Brickfields, 50470 Kuala Lumpur.
Subject to change. PLV will confirm the final arrangements.
This programme provides participants with foundational knowledge of ethics, governance, and regulatory frameworks within the Malaysian capital market and financial services environment.
This programme provides participants with foundational knowledge of ethics, governance, and regulatory frameworks within the Malaysian capital market and financial services environment. Participants will gain an understanding of key regulatory requirements under FSA, IFSA, CMSA, BNM policy documents, the Code of Conduct for Malaysia Wholesale Financial Markets, and AMLATFPUAA. The programme also provides awareness of how financial institutions utilise AI, data analytics, and automation to support risk monitoring and compliance. The focus is on understanding the role of technology in enhancing governance and ethical standards, supported by illustrative examples. This programme supports participants in enhancing their knowledge of regulatory expectations and ethical conduct, in line with SIDC Continuing Professional Education (CPE) requirements.
HRD Corp Justification (FINTECH + INDUSTRY 4.0) This training programme is designed to support Malaysia’s digital transformation agenda by providing participants with knowledge of how Artificial Intelligence (AI), data analytics, and automation are used in financial risk management and regulatory compliance. In line with Industry 4.0 and FinTech developments, participants will gain awareness of how financial institutions utilise AI-driven tools for monitoring transactions, identifying anomalies, and supporting compliance functions. The programme integrates capital markets regulatory frameworks such as FSA, IFSA, and CMSA with technology-enabled environments, enabling participants to understand how regulatory requirements are supported by digital tools and systems. Through illustrative examples and case-based discussions, participants will develop a clearer understanding of how AI and data analytics contribute to ethical conduct, governance, and compliance in financial institutions. Participants will be exposed to examples of: • Artificial Intelligence (AI) used for anomaly detection and behavioural analysis • Data analytics tools used in monitoring trading patterns and compliance risks • Automation systems used for reporting and regulatory monitoring These applications reflect current FinTech practices used in financial institutions and support participants in building awareness of digital transformation in financial services.
Upon completion of this course, participants will be able to:
Key Topics:
Speaker: Mr. Primus Lim
Key Topics:
Speaker: Mr. Primus Lim
Key Topics:
Speaker: Mr. Primus Lim
Key Topics:
Speaker: Mr. Primus Lim
Key Topics:
Speaker: Mr. Primus Lim
Download the complete approved course content (PDF) ↗
All cancellation or rescheduling requests must be made in writing. Cancellation more than 14 working days prior to the training date will incur no charge; cancellations between 7 to 14 working days will incur a 30% fee; cancellations between 3 to 7 working days will incur a 50% fee; and cancellations less than 3 working days prior to the training date or non-attendance will incur 100% of the training fee. One (1) rescheduling is allowed with at least 7 working days’ notice, subject to availability, and any subsequent rescheduling may incur an administrative fee. Participant substitution is allowed at no additional cost. For HRD Corp claimable training, the employer/participant is responsible for any impact on grant approval or claims arising from cancellation or changes.
Registration will only be confirmed upon receipt of full payment or an official letter of undertaking. PLV Advance Business Consulting Sdn Bhd reserves the right to deny or cancel participation if payment or confirmation is not received prior to the training date. Payment made after the training date may be subject to an administrative charge of up to 10% of the total fee. Participants will be admitted on a first-come, first-served basis and subject to availability. For HRD Corp-funded registrations, the employer is responsible for obtaining HRD Corp’s training grant approval at least three (3) days before this public programme begins. Payment through HRD Corp is subject to the approved grant amount and fulfilment of HRD Corp’s attendance, documentation and claim requirements.
Participants must comply with the requirements of the Securities Industry Development Corporation (SIDC) to qualify for CPE points. A minimum attendance of 80% of the total training duration is required, supported by official sign-in and sign-out records. Participants who do not meet this requirement (including late arrival or early departure) will not be eligible for SIDC CPE points.
PLV Advance Business Consulting Sdn Bhd reserves the right to make changes to the training venue, date, trainer, delivery mode, or fees, including postponement or cancellation of the programme due to circumstances beyond its control. Participants and employers will be notified accordingly, and any unused payments will be carried forward or managed in accordance with applicable arrangements.
SIDC CPE: Subject to SIDC CPE requirements. Suitable for CMSRL and ERP holders fulfilling their applicable CPE requirements.
FIMM CPD: FIMM CPD points are not currently confirmed for this programme. Applications are subject to early application and FIMM approval.
HRD Corp: For HRD Corp-funded registrations, the employer is responsible for obtaining training grant approval at least three (3) days before this public programme begins. Payment is subject to the approved grant amount and fulfilment of attendance, documentation and claim requirements.
Mr. Primus Lim is the Managing Director and Principal Trainer of PLV Advance Business Consulting Sdn Bhd, with over 20 years of experience in financial markets, treasury, banking, and professional training. His experience includes foreign exchange (FX), money markets, bonds, derivatives, structured products, and financial market operations within Malaysian financial institutions.
During his tenure with Affin Moneybrokers Sdn Bhd and MUFG Bank (Malaysia) Berhad (formerly Bank of Tokyo-Mitsubishi UFJ (Malaysia) Berhad), he was involved in treasury and wholesale financial market activities, including FX transactions, interest rate products, liquidity management, and money market operations. His industry exposure provided practical understanding of governance practices, market conduct expectations, risk management frameworks, and regulatory compliance within the Malaysian financial services environment.
Mr. Primus Lim has conducted professional training programmes relating to capital markets ethics, governance, financial markets, investment analysis, derivatives, treasury risk management, AML/CFT compliance, and AI-driven financial risk management for financial institutions, capital market intermediaries, corporations, and industry professionals in Malaysia. His training programmes cover areas relating to market conduct, governance, compliance, risk management, and ethical practices relevant to capital market practitioners and CMSL holders.
He is familiar with key Malaysian regulatory frameworks including the Financial Services Act 2013 (FSA), Islamic Financial Services Act 2013 (IFSA), Capital Markets and Services Act 2007 (CMSA), AMLATFPUAA, Bank Negara Malaysia (BNM) policy documents, and the Code of Conduct for Malaysia Wholesale Financial Markets.
Mr. Primus Lim is also actively involved in training and advisory engagements relating to Malaysian capital market regulations, governance practices, financial market risk management, and the application of AI and technology in compliance and financial decision-making environments.
Read the registration terms and attendance requirements ↗
Terms and conditions apply. Subject to change.
