SIDC Module 7 study plan
SIDC Module 7 · Give each week a clear focus.
8 weeks · About 7 hours per week
Capital market regulatory framework and SC licensing requirements & Law and regulation of the Malaysian capital market
Map the Securities Commission Malaysia's statutory mandate and functions onto the Securities Commission Malaysia Act 1993, and list the principal subsidiary legislation each function relies on.
Outline the licensing regime under the Capital Markets and Services Act 2007: identify each Capital Markets Services Licence activity, the fit-and-proper criteria, and the key ongoing obligations attached to each.
Distinguish the roles of the SC, Bursa Malaysia, and the Federation of Investment Managers Malaysia in supervising intermediaries, and note where their jurisdictions overlap.
Build a one-page comparison of the approval, registration, and notification routes a firm might use to offer a capital market product in Malaysia.
Your checkpoint
A 2-page annotated regulatory map linking each SC function to its enabling provision and the licence category it governs, self-quizzed with 20 recall questions.
Law and regulation of the Malaysian capital market & Corporate governance and ICM standards
Summarise the core investor-protection and market-conduct provisions of the Capital Markets and Services Act 2007, including the prohibitions on misleading statements and market manipulation.
Explain how the Malaysian Code on Corporate Governance applies to listed issuers, and identify which recommendations are 'apply or explain' versus mandatory under Bursa listing requirements.
Trace the disclosure obligations that flow from the Bursa Malaysia Listing Requirements for a connected-party transaction, from announcement to shareholder approval.
Draft a short internal memo advising a board on the governance steps needed before a related-party deal is tabled.
Your checkpoint
A 600-word memo applying the corporate governance code and listing requirements to a hypothetical related-party transaction, with citations to the relevant provisions.
Anti-money laundering and compliance
Reconstruct the AML/CFT framework as it applies to capital market intermediaries: the AMLA 2001, the relevant SC guidelines, and the role of Bank Negara Malaysia as the Financial Intelligence and Enforcement authority.
Classify each stage of money laundering and match it to a red flag a licensed intermediary might observe in a client onboarding file.
Design a customer due diligence workflow covering beneficial ownership identification, enhanced due diligence triggers, and politically exposed person screening.
Compare record-keeping and suspicious transaction reporting timelines and thresholds, and note the consequences of late or absent reporting.
Your checkpoint
A one-page CDD and STR decision tree with 10 red-flag scenarios and the correct escalation path for each.
Anti-money laundering and compliance & Professional skills and ethics
Apply the SC's conduct and ethics expectations to three conflict-of-interest scenarios, and justify each recommended action with reference to the applicable guideline.
Identify the professional standards expected of a licensed representative when handling client assets, giving advice, and managing complaints.
Draft a compliance monitoring plan for a small fund management firm, covering at least six monitoring tests with frequency and evidence requirements.
Self-assess your weakest AML topic from week 3 and close the gap with targeted practice.
Your checkpoint
A 10-question timed mock on domains 4 and 6, scored and reviewed with written notes on every wrong answer.
Product and services knowledge
Categorise the main capital market products available in Malaysia - equities, bonds and sukuk, unit trusts, derivatives, and private markets - by their risk, return, and regulatory treatment.
Explain the mechanics of sukuk issuance and how its structure differs from a conventional bond, including the role of the underlying asset.
Compare collective investment schemes and exchange-traded funds on pricing, redemption, and disclosure obligations.
Match five client profiles to suitable product recommendations and justify each with reference to suitability and risk-tolerance criteria.
Your checkpoint
A product comparison matrix covering eight instruments across six attributes, plus a 300-word suitability rationale for two client profiles.
Sustainability and responsible investment
Explain the SC's sustainable and responsible investment framework, including the principles-based SRI taxonomy and the expectations placed on fund managers.
Distinguish the main sustainable investment strategies - exclusion, ESG integration, best-in-class, and impact - and give a Malaysian market example of each.
Identify the disclosure standards relevant to sustainability reporting for listed issuers and the assurance expectations that accompany them.
Critique a sample greenwashing claim against the applicable disclosure guidance and state what evidence would cure the deficiency.
Your checkpoint
A 500-word greenwashing assessment of a hypothetical fund marketing extract, identifying each unsupported claim and the corrective disclosure required.
Capital market regulatory framework and SC licensing requirements & Product and services knowledge & Sustainability and responsible investment
Revisit the licensing and product rules from weeks 1 and 5 and connect them to sustainability-linked product disclosures.
Complete a full-length timed mock exam and record your score by domain to expose remaining weak areas.
Re-derive the three most-missed concepts from memory without notes, then verify against your source material.
Your checkpoint
A full-length mock exam score report broken down by domain, with a ranked list of your five weakest sub-topics.
Law and regulation of the Malaysian capital market & Professional skills and ethics & Corporate governance and ICM standards
Consolidate the legal, ethics, and governance content by teaching each of your five weakest sub-topics aloud in under three minutes.
Re-attempt every previously missed question and confirm you can state why the wrong options are wrong.
Run one final timed mock under exam conditions and review only the errors you repeat.
Your checkpoint
A final revision sheet of 30 key facts and one clean mock exam attempt at or above your target pass mark.
Milestones
Week 2: You can explain, without notes, the difference between the SC's and Bursa's supervisory roles and cite the enabling provision for each.
Week 4: You score at least 70% on the domain 4 and domain 6 mock and can justify every corrected answer in writing.
Week 6: You can name and correctly apply all four sustainable investment strategies to a Malaysian example.
Week 7: Your full-length mock score by domain shows no domain below 60%.
Week 8: You complete a clean timed mock at or above your target pass mark with no repeated error type.