REGULATION
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 as well as licensing information.

Latest on Regulation

11 October 2022

This handbook is issued pursuant to section 377 of the CMSA and has the effect of a guideline issued by the Securities Commission Malaysia (SC). The SC can institute an action against any person contravening the requirements specified in this handbook, including administrative actions against licensed persons.


22 June 2022

The Prospectus Guidelines is issued by the SC under section 377 of the Capital Markets and Services Act 2007 (CMSA). These Guidelines set out the additional disclosure requirements to be disclosed in a prospectus pursuant to section 235(1)(f) of the CMSA, and information to be disclosed in an abridged prospectus pursuant to section 237(2) of the CMSA.


30 May 2022

The Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework (Guidelines) is issued by the Securities Commission Malaysia (SC) pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA).

4 April 2022

This Guidance Note on Provision of Investment Advice seeks to provide clarification as to when the activity of giving investment advice is likely to be considered as a regulated activity, for the purposes of licensing under the Capital Markets and Services Act 2007 (CMSA).


4 April 2022

The Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives is issued by the SC pursuant to section 377
of the CMSA.


31 December 2021

The Guidelines on Corporate Governance for Capital Market Intermediaries (Guidelines) is issued by the Securities Commission Malaysia (SC) pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA).


31 December 2021

The Guidelines on Conduct for Capital Market Intermediaries (Guidelines) is issued by the Securities Commission Malaysia (SC) pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA).


21 December 2021

The Guidelines on Compliance Function for Fund Management Companies is issued by the SC pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA). These Guidelines set out requirements to be complied with by any person intending to establish or carry out portfolio fund management activities in
Malaysia.

21 December 2021

The Prospectus Guidelines for Collective Investment Schemes (Guidelines) is issued by the Securities Commission Malaysia (SC) under section 377 of the Capital Markets and Services Act 2007 (CMSA).

21 December 2021

These Guidelines are aimed at providing a regulatory environment that would protect the interests of the investing public and facilitate the orderly development of the unit trust industry in Malaysia. In addition, these Guidelines are also drawn up to govern the operation of unit trust funds established in Malaysia.

21 December 2021

The Securities Commission Malaysia (SC) is issuing this Public Response Paper in response to the feedback received pursuant to the Public Consultation Paper on the proposed amendments to the Guidelines on Unit Trust Funds and consequential amendments to the Guidelines on Exchange-Traded Funds and Guidelines on Private Retirement Schemes dated 11 November 2020.

20 December 2021

The Guidelines for Shariah Advisers (Guidelines) are issued by the Securities Commission Malaysia (SC) pursuant to section 377 of the Capital Markets and
Services Act 2007
(CMSA).

17 December 2021

The Securities Commission Malaysia (SC) invites your written comments on this public consultation paper. Comments are due by 31 March 2022 and will only be received when submitted at this link www.sc.com.my/feedback-sri-taxonomy.

16 December 2021

The Equity Guidelines are issued under section 377 of the Capital Markets and Services Act 2007 (CMSA) and applied by the SC in considering the following proposals under section 212 of the CMSA: (a) Issues and offerings of equity securities; (b) Listings of corporations and quotations of securities on the Main Market; and (c) Proposals which result in a significant change in the business direction or policy of corporations listed on the Main Market

22 November 2021

These Guidelines set out the requirements for an issue of, offer for subscription or purchase of, or invitation to subscribe for or purchase corporate bonds or sukuk to retail investors.

22 November 2021

These Guidelines set out the requirements that must be observed for the purposes of exclusively making available unlisted capital market products to the persons described in paragraph 1 of Part 1, Schedule 5 of the CMSA.

22 November 2021

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.

22 November 2021

These Guidelines set out the additional disclosure requirements to be disclosed in a prospectus pursuant to section 235(1)(f) of the CMSA, and information to be disclosed in an abridged prospectus pursuant to section 237(2) of the CMSA.

22 November 2021

The Guidelines on Recognized Markets (Guidelines) are issued by the Securities Commission Malaysia (SC) pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA) read together with subdivision 4, division 2 of Part II CMSA

22 November 2021

These Guidelines are issued pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA). These Guidelines shall be referred to as the Guidelines on Sales Practices ofUnlisted Capital Market Products.

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about the SC
The Securities Commission Malaysia (SC) was established on 1 March 1993 under the Securities Commission Act 1993 (SCA). We are a self-funded statutory body entrusted with the responsibility to regulate and develop the Malaysian capital market.

General Line: +603-6204 8000
General Email: [email protected]
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