KENANGA ANNUAL REPORT 2023

107 OUR SUSTAINABILITY APPROACH HOW WE ARE GOVERNED FINANCIAL STATEMENTS SHAREHOLDERS’ INFORMATION ADDITIONAL INFORMATION ETHICS AND COMPLIANCE STATEMENT Annual Regulatory Seminar The 8th Annual Regulatory Seminar (“ARS”) in 2023 was again integrated as part of the events for the 7th FAW. Consistent with the FAW’s goal of tackling contemporary key issues, the theme of the 8th ARS was aligned accordingly. The 8th ARS comprised a comprehensive a 9-series e-learning programme covering vital subjects and messages pertinent to the regulatory landscape, fraud detection, ethics and integrity, governance, cyber security, and regulators’ expectations. Training sessions were led by a diverse array of subject-matter experts from within Kenanga Group, as well as invited speakers. These pre-recorded sessions were made available online to Scam Awareness Video – “Stay Alert, Invest Safely” As part of Kenanga Group’s on-going efforts to raise regulatory awareness, the Group had on 1 November 2023 rolled out the Scam Awareness Video – “Stay Alert, Invest Safely”. This awareness video is targeted to investors, dealers’ representatives, remisiers and employees of the Group with the objective to: Monday Must-Know Quiz Monday Must-Know Quiz (“MMKQ”) represents another significant training and awareness initiative at Kenanga Group. This quiz, mandatory for all employees, covers a wide range of topics with a primary emphasis on ethics and regulatory compliance. It serves as an essential refresher, reinforcing employees’ understanding of the Group’s policies and procedures in these areas. Through MMKQ, employees continually update their knowledge and stay aligned with evolving regulatory standards and ethical guidelines. There were four (4) sets of a five (5) multiple-choice questions quiz issued in 2023 based on a short video and material on the following topics: Each MMKQ was released on the first Monday of four (4) designated months throughout 2023 and remained accessible for employee participation until the conclusion of the year. This extended timeframe allowed employees ample opportunity to engage with the quiz at their convenience and ensure comprehensive understanding of the covered topics over an extended period. Business Ethics Speak Up Financial Crimes Gifts, Entertainment and Hospitality This video is available in Kenanga Group’s website and social media platforms. all employees nationwide through Kenanga’s learning portal. Additionally, a brief pre-and-post quiz was administered as a means to assess employees’ comprehension of the covered topics. A total of one thousand one hundred and fifty-four (1,154) employees registered for the 8th ARS. Upon successfully completing the quiz and attaining a minimum score of eighty percent (80%) within the specified timeframe, employees holding the Capital Markets Services Representative’s Licence were eligible to receive ten (10) CPE points accredited by the Securities Industry Development Corporation. Create financial literacy of the investors by enhancing their awareness on types of scams and ways to protect themselves being scammed Provide information on Kenanga Group scams reporting channels if investors suspected their accounts have been compromised or they have been scammed Broaden public awareness in relation to digital onboarding

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