Securities Commission Malaysia

To ensure trust and confidence in the capital market, the SC regulates the capital market based on the principles of transparency and proportionality to commensurate with the risks posed. We actively update and enforce our regulations and securities laws to ensure that the capital market operates in a fair and orderly manner as well as to reduce systemic risks. Here you will find a list of our Acts, guidelines, consultation papers, frequently asked questions on our regulations, technical notes, updates on our enforcement actions and licensing information.

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As the Malaysian economy continues to evolve and become increasingly diverse, we need to ensure a sustainable, inclusive and innovative capital market that caters to a wide spectrum of investors and issuers, as well as provide opportunities for wealth creation. The SC’s developmental efforts remain focused on growing and strengthening the competitiveness of various market segments.

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Aside from our ongoing surveillance, supervision and enforcement work, we believe that the best form of investor protection is ultimately through investor empowerment and education to enable informed investment decision-making. Here you can lodge a complaint through the SC’s Consumer & Investor Office, learn more about our investor education initiatives, how to become a whistleblower, and links to useful resources.

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REGULATORY HIGHLIGHTS

30 September July 2021

Guidance Note on Practices by Fund Management Companies in respect of Wholesale Funds

The purpose of this Guidance Note on Oversight of Licensed Representatives by Stockbroking Companies is to assist stockbroking companies (SBCs) in supervising and monitoring the conduct of their licensed representatives

22 September July 2021

Guidance Note on Practices by Fund Management Companies in respect of Wholesale Funds

Prompt reporting of a breach by the regulatee that has committed the breach to the SC is recognised as a form of valuable co-operation as it can result in the early resolution of the breach reported. In this regard, this Guidance Note seeks to provide clarity on when the self-reporting of securities laws breaches to the SC will be taken into account in considering the type of enforcement action that will be taken by the SC against the affected regulatee.

9 September July 2021

Guidance Note on Practices by Fund Management Companies in respect of Wholesale Funds

This Guidance Note on Practices by Fund Management Companies in respect of Wholesale Funds (Guidance Note) seeks to provide clarification on some practices or aspects of fund management activities relating to wholesale funds (WSF) that the SC may consider as non-compliant with one or more of the core principles set out under the Compliance Guidelines.

9 July 2021

Guidelines on Sustainable and Responsible Investment Funds

These Guidelines set out the additional requirements to be complied with by any new or existing funds seeking to qualify as an SRI fund. It draws upon and adopts best international practices and is not intended to define or create a standard on sustainable and responsible investment products. However, management companies and fund managers are encouraged to keep abreast of global developments and adopt international best practices to meet client expectations on sustainability.

5 July 2021

Offer of Shares by Unlisted Public Companies to Sophisticated Investors

These Guidelines are aimed at ensuring that there are controls established to ensure any offering including any marketing or distribution of its shares by a UPC to sophisticated investors are carried out in compliance with regulatory requirements. These Guidelines also imposes notification and reporting obligations on the UPC for such offerings.

Effective Date upon 1st Issuance: 1 August 2021

5 July 2021

Guidelines on Compliance Function for Fund Management Companies

These Guidelines are aimed at ensuring that there are controls and compliance established towards ensuring investor protection and market confidence. In addition, these Guidelines are also drawn up to ensure that fund management activities are carried out in compliance with regulatory requirements.