HOW TO LODGE A COMPLAINT?

The Investor Affairs & Complaints Department of the Securities Commission (SC) inquires into complaints on improper conduct and other irregularities in the securities and futures markets to assess whether they disclose offences under the securities laws. The SC welcomes all types of related complaints since the complaints can assist in alerting the SC of irregular activities occurring within the industry or new trends involving investment scams for public money.

If you suspect abuses in the industry and are able to support your claims, please submit your complaints to the SC.

How to Lodge a Complaint?

You can lodge a complaint by completing the following form:

• Print and use this PDF form and and fax or send to the address below
  (English / Bahasa Malaysia)

  Investor Affairs & Complaints Department
  Securities Commission
  No 3 Persiaran Bukit Kiara
  Bukit Kiara
  50490 Kuala Lumpur
  
  Tel: 603 6204 8999
  Fax: 603 6204 8991
  E-mail: aduan@seccom.com.my

The following are examples of the categories of complaints:

• Complaints against public listed companies
• Complaints against licensed intermediaries
• Complaints against share registrars
• Complaints against issuing houses
• Complaints against exchanges
• Complaints concerning dealings in unit trust
• Complaints concerning dealings in securities
• Complaints concerning dealings in futures
  

What should be in the complaint?

Efficient and effective processing can only be done if information received is accurate and complete. Even though a complainant is not required to furnish any more information than he/she wishes, critical information required to enable proper evaluation of the complaint includes:

• Name of the complainant, mail and email addresses, and telephone numbers.
• The name, mail and email addresses, telephone numbers, and any website address of party(ies) mentioned in the complaint
• Specific details of how, why and when the matter complained about arose.

What happens after a complaint is filed?

Each complaint will be reviewed and evaluated for referral to the appropriate department within the SC. Where a possible breach of securities laws is detected, the matter will be referred to the Investigation Department of the SC for further investigations. It is SC's policy to conduct its investigations on a confidential basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or where the SC determines that enforcement action is not necessary or appropriate.

The SC cannot under its laws disclose the existence or non-existence of an investigation and any information gathered.

Any action taken by the SC is taken on its own behalf. SC does not conduct arbitrations and will not act as a lawyer or advisor. If losses are suffered, the aggrieved party will have to file his/her own claim, either on his/her own or by procuring services of a lawyer.