Latest on Regulation
18 July 2024
The Securities Commission Malaysia (SC) has received an increasing number of queries from the public seeking clarification regarding investment advice activities. Considering that this activity is gaining more attention, 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).
18 July 2024
The Securities Commission (SC) has observed certain deficiencies in the controls over the acceptance of third-party deposits among some intermediaries within the capital market. These inadequacies have led to delays or failures in detecting frauds and misappropriations, resulting in financial losses. In light of these observations, the SC wishes to emphasize the importance of implementing robust controls to mitigate the risks associated with third-party deposits, as outlined in the SC’s Guidelines on Prevention of Money Laundering, Countering Financing of Terrorism, Countering Proliferation Financing, and Targeted Financial Sanctions for Reporting Institutions in the Capital Market.
14 June 2024
The Guidelines on Contracts for Difference (Guidelines) is issued by the Securities Commission Malaysia (SC) under section 377 of the Capital Markets and Services Act 2007 (CMSA). These Guidelines aim to provide a regulatory framework for over‐the‐counter (OTC) contracts for difference (CFD) in Malaysia.
13 June 2024
The Guidelines on Prevention of Money Laundering, Countering Financing of Terrorism, Countering Proliferation Financing and Targeted Financial Sanctions for Reporting Institutions in the Capital Market
8 February 2024
The Guidelines on Islamic Capital Market Products and Services consolidates all Shariah requirements of Islamic capital market (ICM) products and services into a single document and acts as a single and central point of reference for Shariah principles and requirements commonly applicable to ICM products and services.
6 February 2024
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.
5 February 2024
The Guidelines on Categories of Sophisticated Investors set out the categories of sophisticated investors and the relevant criteria for different categories of sophisticated investors.
5 February 2024
The Guidelines was revised to expand the permissible investments of wholesale funds including investments via Special Purpose Vehicle (SPV). The amendments also accommodate for the introduction of the Foreign Exempt Scheme (FES) framework. Editorial amendments to enhance clarity of certain requirements under the Guidelines. Click here to find out more.
5 February 2024
The Guidelines was revised to expand the permissible investments of wholesale funds including investments via Special Purpose Vehicle (SPV). The amendments also accommodate for the introduction of the Foreign Exempt Scheme (FES) framework. Editorial amendments to enhance clarity of certain requirements under the Guidelines. Click here to find out more.
5 February 2024
The Guidelines was revised to expand the permissible investments of wholesale funds including investments via Special Purpose Vehicle (SPV). The amendments also accommodate for the introduction of the Foreign Exempt Scheme (FES) framework. Editorial amendments to enhance clarity of certain requirements under the Guidelines. Click here to find out more.
5 February 2024
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.
