Managing Regulatory Breaches in Financial Institutions

Investigation, Remediation & Regulatory Engagement

Date: 13^th October 2026
Venue: DoubleTree by Hilton Kuala Lumpur

Classroom Training

WHY THIS PROGRAM?

Despite robust governance frameworks and well-designed compliance programmes, regulatory breaches remain an inherent risk for all financial institutions. Increasing regulatory expectations mean that organisations are judged not only on whether a breach occurs, but also on how quickly it is identified, investigated, escalated, remediated and reported. Effective breach management has become a key indicator of organisational governance, accountability and compliance maturity.

This practical program explores the end-to-end management of regulatory breaches within financial institutions, from initial identification and assessment through investigation, regulatory engagement, remediation and lessons learned. Participants will examine the governance structures, decision-making processes and reporting frameworks that support effective breach management, while considering Bank Negara Malaysia's supervisory expectations and industry best practices.

Using practical case studies and realistic regulatory scenarios, participants will develop the knowledge and practical skills required to manage regulatory incidents confidently, minimise regulatory risk and strengthen organisational resilience.

Learning Methodology

This programme adopts a practical, scenario-based approach centred on the real challenges faced by financial institutions when responding to regulatory breaches and compliance incidents.
Participants will benefit from:
- Interactive instructor-led learning
- Real regulatory case studies
- Group discussions and peer learning
- Practical breach assessment exercises
- Investigation and root cause analysis workshops
- Scenario-based regulatory reporting simulations
- Practical templates and implementation guidance
The programme emphasises practical application, enabling participants to develop structured approaches that can be implemented immediately within their own organisations.

Key Learning Outcomes

By the end of the programme, participants will be able to:
- Interpret Bank Negara Malaysia's expectations relating to regulatory breaches, incident management and effective governance.
- Assess the severity and regulatory significance of compliance breaches using a structured, risk-based approach.
- Design effective breach identification, investigation, escalation and reporting processes.
- Conduct root cause analysis and develop sustainable remediation plans that address underlying control weaknesses.
- Manage internal governance, Board reporting and regulatory engagement throughout the breach management process.
- Apply lessons learned to strengthen controls, improve compliance frameworks and reduce the likelihood of recurring breaches.

AGENDA

Module 1: Understanding Regulatory Breaches & Making Sound Decisions (9.00am – 10.30am)

Recognising regulatory breaches, assess their significance and determine the appropriate response.
- Regulatory expectations and governance responsibilities
- Regulatory breach assessment and decision framework
- Escalation, accountability and reporting obligations
- Documentation, evidence and breach record management

Module 2: Conducting Effective Regulatory Breach Investigations (10.45am – 12.30pm)

Managing regulatory breaches systematically from the first response through to root cause identification.
- Managing the first 24 hours of a regulatory breach
- Planning and conducting effective investigations
- Root cause analysis and impact assessment
- Managing stakeholders throughout the investigation process

Module 3: Managing Regulatory Reporting, Remediation & Supervisory Engagement (1.30pm – 3.15pm)

Responding confidently to regulatory breaches while maintaining regulatory confidence.
- Reporting to senior management and the board
- Regulatory notification and supervisory engagement
- Developing effective remediation and corrective action plans
- Monitoring implementation and demonstrating regulatory accountability

Module 4: Embedding Sustainable Compliance & Organisational Resilience (3.30pm – 5.00pm)

Strengthening governance and prevent recurring breaches through continuous improvement.
- Learning from regulatory breaches and emerging trends
- Strengthening governance, controls and compliance culture
- Preventing recurring breaches through sustainable improvements
- Using lessons learned to enhance compliance effectiveness

EXPERT COURSE DIRECTOR

Lan Yann Erl is an accomplished Governance, Risk & Compliance (GRC) practitioner with over 26 years of senior leadership experience across leading financial institutions. She brings deep expertise in operational risk management, regulatory compliance, internal audit, and risk-based assurance, with a strong track record of strengthening control environments, embedding compliance culture, and enhancing institutional resilience. Lan is a trusted advisor to senior management and Boards, having worked extensively with Board Committees on governance oversight, regulatory expectations, and risk management effectiveness. Her experience includes designing and enhancing operational risk and compliance frameworks, leading thematic reviews and special investigations, managing regulatory engagements with Bank Negara Malaysia, and overseeing remediation of supervisory findings. She is formally accredited as an HRD Corp Malaysia–Accredited Trainer and is highly regarded for designing and delivering impactful governance, regulatory compliance, and operational risk training programs for Board members, senior management, and business units. Her training approach is practitioner-led and experience-based, focused on translating regulatory and risk requirements into clear, practical, and business-relevant actions. Lan has held senior roles including Head of Group Regulatory Advisory, Head of Compliance Governance, Head of Group Operations Control, and Head of Operational Risk Management. Across these roles, she led enterprise-wide risk framework implementation, control testing programs, breach investigation and reporting, business continuity and resilience initiatives, and first-line risk ownership models aligned to the Three Lines of Defense. Her professional qualifications include Chartered Banker, certifications in compliance, AML/CFT, governance, and digital banking, and formal accreditation as an HRD Corp trainer. She is a Fellow of the International Compliance Association (FICA) and a Professional Member of the Institute of Operational Risk (UK).

WHO WILL BENEFIT FROM THIS PROGRAM?

This programme is designed for professionals responsible for governance, compliance, risk management and regulatory oversight within financial institutions, including:
- Chief Compliance Officers, Compliance Officers and Compliance Managers
- Operational Risk professionals
- Risk Management professionals
- Internal Audit professionals
- Legal and Regulatory Affairs personnel
- Governance and Control professionals
- Business and Functional Heads responsible for regulatory compliance
- Senior managers responsible for regulatory oversight and engagement
- Professionals involved in incident management, investigations and remediation activities

REGISTRATION

*Please note there is a fee for attending this program. Please contact us for more details.

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Before completing this registration form please read and understand our booking and cancellation policy. Thank you.

Booking, Payment and Cancellation Policy – important, please read carefully

By completing, signing and revised, sent separately us this registration form you are conﬁrming participants on the program. You are also conﬁrming your understanding of our Booking, Payment and Cancellation Policy.

Cancellation Policy: If participants cannot attend the program, replacement participants are always welcome. Otherwise, participants must notify us any of cancellations or requests to transfer to a diﬀerent program at least 14 days before the program date to be eligible for a refund, less a 5% administration on fee. Participants who cancel within 14 days of the program start date are liable to pay the full program fee and no refunds will be given. Instead fees will be converted to a REDmoney Seminars voucher equivalent to the original fee, less a 10% administration charge. This voucher is transferable within your organization and must be redeemed within one year of issue or become void. If a program is postponed for whatever reason registrations and fees will be automatically transferred to the new program date. Participants who wish to transfer to a diﬀerent program will be subject to the same terms as above and charged any diﬀerence in fees. No refunds or program vouchers will be issued for a no-show.
Payment Terms: All program fees are payable upon invoice. REDmoney shall receive the full program fee with no deductions of any description. All telegraphic transfer fees, taxes and levies (domestic or otherwise) shall be borne by the sponsoring organization.

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FEE

Fee per participant: RM2,600/US$750

Please note that the Ringgit price is applicable to Malaysia-domiciled participants only. Discounts are available for group bookings. Please contact us for more details.

IN-HOUSE/GROUP TRAINING

If you are looking for an in-house training program or wish to send a group to an existing public program, kindly please contact Andrew Tebbutt at [email protected] or +603 2162 7802.
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