Guidance Notes and Guiding Principles

Guidance Note on Oversight of Licensed Representatives by Stockbroking Companies (pdf)
(Date Issued: 30 September 2021)
Guidance Note on Practices by Fund Management Companies in respect of Wholesale Funds (pdf)
(Date Issued: 3 September 2021)
(Revised: 9 September 2021)
Guidance Note on Co-Operation and Self-Reporting (pdf)
(Date Issued: 23 June 2021)
(Revised: 22 September 2021)

Frequently-Asked Questions (FAQ) on the Guidance Note on Co-Operation and Self-Reporting (pdf)

Guidance Note on Controls by Fund Management Companies in Managing Material Non-Public Information (pdf)
(Date Issued: 22 April 2021)
Guidance Notes on Liquidity Risk Management for Fund Management and Unit Trust Companies (pdf)
(Date Issued: 16 December 2019)
Guiding Principles on Business Continuity (pdf)
(Date Issued: 14 May 2019)
(Revised: 19 August 2024)

Summary of Amendments (pdf)
(Date Issued: 19 August 2024)
Frequently-Asked Questions(pdf)

Archive of Superseded Guidance Notes
Guiding Principles on Business Continuity (pdf)
(Date Issued: 14 May 2019)
Guidance Note on Provision of Investment Advice (pdf)
(Date Issued: 30 December 2020)
(Revised: 4 April 2022)
Guidance Note on Provision of Investment Advice (pdf)
(Date Issued: 30 December 2020)
Guidance Note on Co-Operation and Self-Reporting (pdf)
(Date Issued: 23 June 2021)
Frequently-Asked Questions (FAQ) on the Guidance Note on Co-Operation and Self-Reporting (pdf)
(Date Issued: 23 June 2021)
Guidance Note on Practices by Fund Management Companies in respect of Wholesale Funds (pdf)
(Date Issued: 3 September 2021)

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]