Any complaint against a staff of the SC, in relation to the discharge of his/her functions, should be channeled to the Head of Internal Compliance Department (ICD). When lodging the complaint, the complainant is required to provide his/her name and contact information as well as specify details pertaining to the nature of the complaint.
What should be in the complaint?
We can only process the complaint if the information provided to us is accurate and complete. Information that must be provided to us are:
- Name of the complainant, mail and email addresses, and telephone numbers.
- The name and department of the person complained about and the identity and contact details of any other person(s) related to the matter.
- Specific details of how and when the matter complained about arose.
- Any other information which is relevant to the matter and which may assist SC in looking into the complaint.
A complaint against a staff of the SC is a serious matter. As such, complainants are reminded to provide information which is true and accurate when lodging the complaint.
What happens after a complaint is filed?
Each complaint will be reviewed and evaluated by an independent person or committee. The SC has in place a well-established and robust Code of Conduct and Disciplinary Procedures which are applicable in cases of misconduct.
The Head of ICD or the person or committee looking into the complaint may call the complainant in for a meeting to seek further clarification. This is an important process to enable us to verify the complaint and obtain further information to assist us in making an assessment.
It is the SC’s policy to treat all complaints received on a confidential basis. As such, the SC will not disclose any sensitive information relating to the complaint to anyone, unless the information has been made public and/or the disclosure is required for any regulatory action.
The SC will process and address complaints raised in good faith, and will not entertain any complaints which are considered frivolous or vexatious. We view the making of false complaints as a very serious matter.
How to Lodge a Complaint?
Please download and complete the following editable pdf form:
The form can also be faxed or sent to the address below:
Head of Internal Compliance Department
Securities Commission Malaysia
No 3 Persiaran Bukit Kiara
50490 Kuala Lumpur
Tel: 603 6204 8000
Fax: 603 6204 8110