KSY130: ISO 37001 for Financial Professionals: Enhancing Anti Bribery & Corruption (ABC) and AMLA Controls Across Malaysia’s Capital Market Ecosystem

 

Learning Outcomes

1. Explain the core principles, requirements, and structure of ISO 37001 Anti-Bribery Management Systems (ABMS) and how they align with Malaysian ABC and AMLA regulations.

2. Identify bribery, corruption, and money-laundering risks specific to capital market activities such as brokerage, fund management, advisory, and distribution.

3. Apply ISO 37001 controls to strengthen organisational compliance frameworks, including due diligence, internal controls, and monitoring processes.

4. Analyse gaps between existing compliance practices and ISO 37001 requirements, particularly in relation to obligations under SC, Bursa Malaysia, BNM AMLA Guidelines, and industry best practices.

 

Course Contents

  • Introduction to ISO 37001 and Its Relevance to Malaysia’s Capital Market

- Overview of ISO 37001 Anti-Bribery Management System (ABMS) - Why ISO 37001 matters for capital market intermediaries and wealth managers - Relationship between ISO 37001, Securities Commission Malaysia (SC) ABC guidelines & Bursa Malaysia requirements - Key regulators’ expectations: SC, Bursa, BNM AMLA requirements - The evolving financial crime landscape: bribery, corruption, and money laundering typologies in capital markets

  • Risk Assessment in ABC and AMLA for Capital Market Activities

- Bribery & corruption risks in capital market operations - Money-laundering and terrorism-financing risks affecting wealth managers - How ISO 37001 requires structured risk assessments - Incorporating AMLA risk factors: customers, products, channels, and geography - Identifying red flags in brokerages, fund management, and advisory services - Case examples: insider dealing corruption, kickbacks, mis-selling, illicit fund flows, commission manipulation

  • Implementing ISO 37001 Core Controls for ABC & AMLA Compliance

- ISO 37001 mandatory controls: - Policies & procedures - Tone-from-the-top & governance - Third-party due diligence - Financial and non-financial controls - Reporting, investigation & disciplinary actions - Integrating ABC controls with AMLA requirements: - CDD/EDD & customer risk profiling - Monitoring unusual transactions - Control over gifts, entertainment, and facilitation payments - Staff training requirements under ISO 37001 and AMLA - Practical documentation & evidence requirements for audits

  • Case Studies of Failures in ABC and AMLA Compliance

- Malaysian and international case studies involving bribery, corruption, and money laundering in capital markets - What went wrong: governance, controls, culture, supervision - Regulatory enforcement actions & penalties (SC, BNM, MACC examples) - Lessons learned for wealth managers and intermediaries

  • Strengthening the Compliance Framework — Linking ISO 37001 with AMLA

- Develop a comprehensive anti-financial crime framework - Integrating ISO 37001 into enterprise risk management - Continuous monitoring, reporting, and internal audit mechanisms - Designing an ABC+AMLA compliance dashboard - Using technology: surveillance systems, automated monitoring, AI/ML red-flag detection - Preparing for ISO 37001 certification (steps, timelines, common gaps)