ASSET VALUATION

Asset Valuation – Expired On 2 August 2009

ANTI-MONEY LAUNDERING

BOND

  • 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)

BUSINESS TRUSTS

COLLECTIVE INVESTMENT SCHEMES

Unit Trusts

  • Guidelines on Unit Trust Funds (pdf)
    (Revised Edition: 25 August 2014)

    • Summary of Amendments (pdf)
  • Guidelines on Unit Trust Advertisement and Promotional Materials (pdf)
    (Date Issued: 3 March 2008)
  • Guidelines on Marketing and Distribution of Unit Trust Funds (pdf)
    (Date Issued: 3 March 2008)

Real Estate Investment Trusts

  • Guidelines on Real Estate Investment Trusts (pdf)
    (Updated: 28 December 2012)
  • Guidelines on Islamic Real Estate Investment Trusts (pdf)
    (Date Issued: 21 November 2005)

    • Frequently-asked Questions (pdf)

Exchange-Traded Funds

  • Guidelines on Exchange-Traded Funds (pdf)
    (Date Issued: 11 June 2009)

Close-End Funds

  • Guidelines for Public Offerings of Securities of Closed-End Funds (pdf)
    (Date Issued: 30 October 1995)

Foreign Collective Investment Schemes

ASEAN Collective Investment Scheme

  • Handbook for CIS Operators of ASEAN CIS (pdf)
    (Issued: 25 August 2014)

Prospectus

  • Prospectus Guidelines for Collective Investment Schemes (pdf)
    (Revised Edition: 25 August 2014)

    • List of Amendments (pdf)
    • Frequently Asked Questions (pdf)

Others

  • Guidelines for the Appointment of Related-Party Trustees (pdf)
    (Date Issued: 3 March 2008)
  • Guidelines on Online Transactions and Activities in Relation to Unit Trusts (pdf)
    (Date issued: 24 November 2004)

    (Revised Edition : 19 August 2008)
  • Guide on Areas of Compliance and Internal Controls for Management Company and Trustee (pdf)
    (Date Issued: 3 June 2003)

Application Documents for Collective Investment Schemes

Forms

Reporting Forms

  • REIT Statistical and Compliance Returns (MS Word)
  • Online Transactions Returns (MS Word)
  • Wholesale Fund Returns (MS Word)
  • ETF Statistical and Compliance Returns (MS Word)
  • ETF Statistical Returns (for Foreign Constituted ETFs) (MS Word)

Notification Forms

  • Appointment of Director (MS Word)
  • Winding up of a Fund (MS Word)
  • Appointment of Investment Committee / Shariah Adviser / Panel of Advisers (MS Word)
  • Notification of Commencement or Completion: Winding Up of a Wholesale Fund (MS Word)
  • Notification of Appointment or Resignation of Shariah Adviser (MS Word)
  • Notification of Investments: Foreign Markets (MS Word)

Checklists

Submission Checklists

  • Application to Establish a New Unit Trust Fund (MS Word)
  • Application to Establish a New Real Estate Investment Trust (MS Word)
  • Application to Act as Management Company (MS Word)
  • Application to Act as Trustee (MS Word)
  • Application to Increase Fund Size for a Real Estate Investment Trust (MS Word)
  • Application to Appoint a Delegate Not Licensed by the SC (MS Word)
  • Application for an Exemption/Variation/Extention of time (MS Word)
  • Application for Registration/Renewal of Trustee (MS Word)
  • Application for Recognition – Unlisted Foreign Fund (MS Word)
  • Application for Approval – Listing of Foreign Fund (MS Word)

Prospectus Checklists

  • Prospectus Registration Checklist (unlisted funds) (MS Word)
  • Prospectus Registration Checklist (listed funds) (MS Word)
  • Lodgement Checklist – Prospectus (MS Word)

Deed Checklist

  • Checklist for Minimum Content for Deed of Unit Trust Funds (MS Word)
  • Checklist for Minimum Content for Deed of Real Estate Investment Trust (MS Word)
  • Checklist for Minimum Content for Deed of Exchange-traded Fund (MS Word)
  • Registration Checklist (MS Word)
  • Lodgement Checklist – Deed (MS Word)

Fee Checklists

  • Fee Computation Checklist – UTS (MS Word)
  • Fee Computation (Other) Checklist (MS Word)

Other Checklists

  • Checklist for Minimum Requirements for Content of Unit Trust Fund Report (MS Word)
  • Checklist for Minimum Requirements for Content of Real Estate Investment Trust Report (MS Word)
  • Checklist for Minimum Requirements for Content of Exchange-traded Fund Report (MS Word)
  • Checklist for Compliance with Guidelines on Online Transaction of, and Online Activities in Relation to, Unit Trusts (pdf)

ARCHIVE OF SUPERSEDED GUIDELINES – COLLECTIVE INVESTMENT SCHEMES

Unit Trusts

  • Guidelines on Unit Trust Funds (pdf)
    (Date Issued: 3 March 2008)
    (Revised Edition : 18 February 2009, 1 June 2010 & 7 January 2014)

Real Estate Investment Trusts

  • Guidelines on Real Estate Investment Trusts (pdf)
    (Date Issued: 21 August 2008)

    (Updated: 13 July 2011)

Foreign Collective Investment Schemes

  • Guidelines for the Offering, Marketing and Distribution of Foreign Funds (pdf)
    (Revised Edition: 25 August 2014)
  • Guidelines for the Offering, Marketing and Distribution of Foreign Funds (pdf)
    (Date Issued: 3 March 2008)

Prospectus

  • Prospectus Guidelines for Collective Investment Schemes (pdf)
    (Date Issued: 3 March 2008)
    (Updated: 1 June 2010)

EQUITY GUIDELINES

Offering of Equity and Equity-linked Securities – Expired on 2 August 2009

  • Guidelines on the Offering of Equity and Equity-Linked Securities (pdf)
    (Effective Date: 1 February 2008)
    (Expired on: 2 August 2009)
  • Guidelines on the Offering of Equity and Equity-Linked Securities for the MESDAQ Market (pdf)
    (Effective Date: 1 February 2008)
    (Expired on: 2 August 2009)

GUIDELINE ON RECOGNISED MARKETS (EQUITY CROWDFUNDING)

ARCHIVE OF SUPERSEDED GUIDELINES

FUND MANAGEMENT

SC GUIDELINES

LICENSING

REGISTERED PERSONS

LODGE AND LAUNCH FRAMEWORK

ARCHIVE OF SUPERSEDED GUIDELINES

Wholesale Funds

  • Guidelines on Wholesale Funds (pdf)
    (Date Issued: 18 February 2009)

Structured Products

  • Guidelines on the Offering of Structured Products (pdf)
    (Revised Edition: 27 April 2007)
    (Effective Date: 27 April 2007)

Asset-backed Securities

  • Guidelines on the Offering of Asset-backed Securities (pdf)
    (Revised Edition: 26 July 2004)
    (Effective Date: 26 July 2004)

    • Practice Note 1 – Specific Requirements and Disclosure of Information on Primary Collateralised Loan Obligations Transaction (pdf)
      (Date Issued: 28 January 2008)
    • Joint Information Note on the Issuance and Subscription of Ringgit and Foreign Currency-Denominated Sukuk and Bonds in Malaysia (pdf)
      (Date Issued: 1 July 2013)

Private Debt Securities

Sukuk

PRIVATE RETIREMENT SCHEMES

Application Documents for Private Retirement Schemes
Forms

Notification Forms

Checklists

  • PRS Submission Checklist – PRS (MS Word)
  • Fee Computation Checklist – PRS (MS Word)

Disclosure Document Checklists

Deed Checklists

SALES PRACTICES

Guidelines on Sales Practices of Unlisted Capital Market Products (pdf)
(Issued: 28 December 2012)
(Updated: 29 March 2013)

STRUCTURED WARRANTS

  • Guidelines on Issuer Eligibility – Structured Warrants (pdf)
    (Issued/Effective Date: 1 December 2009)

PRINCIPAL ADVISERS

Approved List of Principal Advisers

The purpose of the Approved List of Principal Advisers (Approved List) is to enable members of the public to ascertain whether or not they are dealing with a Principal Adviser which is approved by the SC to submit, on behalf of their clients, Specific Corporate Proposal1 applications to the SC.

By publishing the Approved List, the SC does not recommend nor guarantee the performance of any Principal Adviser.

The information presented in the Approved List is current as at 18 December 2013.

Click here for the Approved List of Principal Advisers.

1 Defined as an Initial Public Offering on Bursa Malaysia, transfer of listing from the ACE Market to the Main Market of Bursa Malaysia, secondary listing of foreign corporations on Bursa Malaysia or a significant acquisition that requires the SC’s approval under section 212 of the Capital Market and Services Act 2007.

Principal Advisers – Expired on 2 August 2009

  • Guidelines on Principal Advisers for Corporate Proposals (pdf)
    (Effective Date: 1 February 2008)
    (Expired On: 2 August 2009)

SECURITIES BORROWING & LENDING

  • Securities Borrowing and Lending Guidelines (pdf)
    (Updated: 4 August 2009)
    (Effective: 17 August 2009)

Securities Borrowing & Lending – Expired on 17 August 2009

  • Guidelines on Securities Borrowing and Lending (pdf)
    (Date Issued: 27 December 2006)
    (Amended as at 11 January 2008)
  • Tax Guidelines on Securities Borrowing & Lending (SBL) (pdf)
    (Revised Edition: 2008)

REGISTRATION OF SHARIAH ADVISERS GUIDELINES

  • Registration of Shariah Advisers Guidelines (pdf)
    (Date Issued: 10 August 2009)

DUE DILIGENCE

  • Guidelines on Due Diligence Conduct for Corporate Proposals (pdf)
    (Effective Date: 1 February 2008)

STOCKBROKING

  • Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives (pdf)
    (Date Issued: 8 April 2008)
    (Date Revised: 20 November 2014)

  • Guidelines on Dealing in Unlisted 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 Investment Banks (pdf)
    (Date Issued: 1 July 2005)
  • Guidelines on the Establishment of Electronic Access Facilities by a Universal Broker (pdf)
    (Amended as at 5 November 2004)

    • Practice Note 1 (pdf)
      (Amended as at 5 November 2004)
  • Guidelines for a Universal Broker (pdf)
    (Amended as at 23 November 2004)
  • Guidelines on the Establishment and Location of a Branch Office by a Universal Broker and a Non-universal Broker (pdf)
    (Amended as at 5 November 2004)

    • Practice Note 1 – Flexibilities Granted to Stockbroking Companies in Relation to Branch Offices and Branching Policy for the Year 2002 and Beyond (pdf)
      (Amended as at 5 November 2004)
  • Member Readiness Checklist for a Universal Broker (pdf)
    (Date Issued: 02 October 2000)
  • Guidelines on Electronic Contract Notes (pdf)
    (Date Issued: 28 April 2005)
    (Date Revised: 18 November 2008)
  • Guidelines on Outsourcing for Capital Market Intermediaries
    • Notification on Outsourcing for Capital Market Services Licence Holders (MS Word)

VENTURE CAPITAL/PRIVATE EQUITY

VENTURE CAPITAL/PRIVATE EQUITY

  • Guidelines on Regulation of Markets (pdf)
    (Date Issued: 28 September 2007)
    Note: This guidelines have been repealed on 10 February 2015 and replaced with Guidelines on Regulation of Markets under S.34 of CMSA
  • Guidelines for the Employment of Non-Malaysian Citizens in the Securities and Futures Industries (pdf)
    (Date Issued: 26 October 2006)
  • Form 1: Application for the Employment of Non-Malaysian Citizens in the Securities and Futures Industries – to be Filled by the Principal Company (MS Word)
  • Form 2: Application for the Employment of Non-Malaysian Citizens in the Securities and Futures Industries – to be filled by the Non-Malaysian Citizen Candidate (MS Word)