Guidelines and Practice Notes

  • Guidelines on Issuance of Private Debt Securities and Sukuk to Retail Investors (pdf)
    (Date Issued: 15 June 2015)

  • Guidelines on Trust Deeds (pdf)
    (Revised: 12 July 2011)
    (Effective: 12 August 2011)
  • Guidelines on Registration of Credit Rating Agencies (pdf)
    (Date Issued: 30 March 2011)
  • Guidelines on Registration of Bond Pricing Agencies (pdf)
    (Effective Date: 25 January 2006)
  • Guidelines on Registration of an Electronic Broking System (pdf)
    (Effective Date: 6 January 2006)
  • Guidelines on Dealing in Unlisted Debt Securities by a Universal Broker (pdf)
    (Date Issued: 30 October 2002)

    • Practice Note 1 – Application of the Guidelines to Cross-selling of Unlisted Debt Securities to Eligible Individuals by Dealer’s Representatives Not Certified by PPKM (pdf)
      (Date Issued: 12 July 2005)
  • Guidelines on allowing a person to be appointed or to act as a trustee under subsection 69(2) of the Securities Commission Act 1993 (pdf)
    (Date Issued: 17 September 2001)
  • Practice Note on Registration by the Securities Commission for the Purpose of Acting as a Bond Trustee (pdf)
    (Date Issued: 12 October 2006)
  • Guidance Note on the Secondary Trading of Foreign Currency Denominated Debentures and Foreign Currency Denominated Islamic Securities (pdf)
    (Date Issued: 15 September 2005)

Relevant Acts & Regulations (including amendments)

  • Securities Commission Act 1993 (Prescription of Islamic Securities)
    (Amendment ) Order 2005 (pdf)
    (Date Issued: 6 October 2005)
  • Securities Commission (Prescription of Islamic Securities) Order 2004 (pdf)
    (Date Issued: 3 July 2004)
  • Securities Commission (Non-Application of the Definition of Debenture) Order 2001 (pdf)
    (Date Issued: 19 July 2001)
  • Securities Commission (Shelf Registration Scheme for Debentures) Regulations 2000 (pdf)
    (Date Issued : 7 April 2000)

Archive of Superseded Guidelines