Aduan dan Pertanyaan - Prestasi dan Hasil Kawal Selia

Aduan dan Pertanyaan

Untuk mendukung perlindungan pelabur, SC mempunyai proses yang mantap, sistem dan sumber khusus untuk mengurus semua aduan dan pertanyaan yang diterima daripada orang ramai.

SC memerhatikan peningkatan jumlah aduan dan pertanyaan pada 2023, berbanding pada tahun-tahun sebelumnya. Pada 2023, jumlah aduan dan pertanyaan yang diterima oleh SC, adalah 20% lebih daripada 2022. Peningkatan dalam aduan dan pertanyaan, sebahagian besarnya adalah berkenaan penipuan dan aktiviti tidak berlesen (Jadual 20).

Walaupun peningkatan dalam jumlah aduan dan pertanyaan tersebut menunjukkan terdapat kesedaran yang lebih besar dan pemikiran skeptikal dalam kalangan orang ramai, SC meneruskan untuk menambah usaha bagi membendung penipuan dan aktiviti tidak berlesen melalui pendekatan pelbagai serampang (Rujuk Rencana Khas 1, Ke Arah Perlindungan Pelabur yang Lebih Baik).

jadual 20

Aduan dan pertanyaan yang diterima

Hasil	2023	2022
Aduan
Diterima	3,145	1,830
Jenis aduan Skim penipuan dan aktiviti tidak berlesen Individu berlesen atau berdaftar Salah laku pasaran PLC dan pengarah Digital atau RMO Hal-hal bukan di bawah bidang kuasa SC Lain-lain	66% 6% 0% 4% 2% 10% 12%	62% 7% 1% 6% 3% 15% 6%
Pertanyaan
Diterima	2,173	2,606
Jenis pertanyaan Kesahihan skim berkaitan penipuan dan aktiviti tidak berlesen Individu berlesen atau berdaftar PLC dan pengarah Digital atau RMO Hal-hal bukan di bawah bidang kuasa SC Lain-lain	55% 4% 0% 2% 12% 27%	51% 3% 1% 2% 8% 35%
JUMLAH ADUAN DAN PERTANYAAN	5,318	4,436

Rencana Khas 1: Ke Arah Perlindungan Pelabur yang Lebih Baik

BACA SELANJUTNYA

Pendekatan Pelbagai Serampang yang Diguna pakai oleh SC untuk Menangani Kebimbangan Kawal Selia yang Timbul daripada Percambahan Nasihat Pelaburan Tidak Berlesen

BACA SELANJUTNYA

Mitigating Systemic Risks And Promoting Financial Stability

Enhanced Risk Governance Framework

In 2021, the SC-wide risk governance framework was enhanced as part of an overall initiative to have an effective integrated and predictive risk surveillance to maintain regulatory agility.

The structured risk governance framework integrated the wider spectrum of risks such as technology, cyber and conduct risk at the SC’s Systemic Risk Oversight Committee (SROC) and Accounting, Market and Corporate Surveillance Committee (ACMS).

Intensified surveillance

The SC continued to intensify its surveillance of systemic risk to maintain market resilience and stability. Regular SROC engagements were held to deliberate concerns emanating from various segments across the capital market. Domestic equity and bond market, foreign fund flows and trade participation continued to be monitored closely for potential stress points.

In addition, measures and economic stimulus packages introduced by the government to weather the impact of COVID-19, market trading conduct and the financial position of listed companies were among the focus areas for discussion.

Thematic assessments

The SC also conducted thematic assessments covering investors’ fund flows, the position of firms, and policy decisions to ascertain the possible impact on the capital market. In 2021, the SC reviewed and enhanced its crisis indicators on potential emerging risks in the
capital market.

The enhanced crisis indicators provided a reference point for escalation to SROC when the identified indicators and triggers materialised and ensured prompt response to manage and prevent any issues of concern that might lead to a systemic crisis.

Joint regulatory discussions

In 2021, the SC conducted frequent joint regulatory discussions with other authorities such as Bank Negara Malaysia (BNM) and Labuan Financial Services Authority (Labuan FSA) to identify systemic risk concern areas within the financial and capital markets in Malaysia.

Monitoring of various components of the capital market

The SC continued its efforts to undertake a methodological and integrated approach to ensure any potential systemic risk was being monitored, mitigated, or managed. Figure 1 highlights the findings from the following risk assessments on the various components of the capital market.