Guidelines
The Asset Valuation Guidelines issued under section 377 of the Capital Markets and Services Act 2007 (CMSA) are to be complied with by valuers and other experts when carrying out valuations of property assets including plant, machinery and equipment

Anti-Money Laundering, Anti-Terrorism Financing and Targeted Financial Sanctions-Proliferation Financing

These guidelines are to be complied with by any person intending to: (a) establish or provide a business trust; (b) offer units in a business trust; or (c) act as a trustee-manager.

Bumiputera Equity Requirements For Public Listed Companies

Bonds

Collective Investment Scheme

Contracts for Difference

Cyber Risk

Due Diligence

These guidelines seek to provide guidance - (a) on the disclosure documents for unlisted capital market products as provided for under paragraph 212(5)(b) of the CMSA; and (b) the requirement to deposit a disclosure document with the SC.

The Equity Guidelines are issued under section 377 of the CMSA and applied by the SC in considering the following proposals under section 212 of the CMSA

These Guidelines are issued by SC pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA). Financial Market Infrastructures (FMIs) play a key role in enabling the efficient functioning of the capital market systems, which is a key component of the Malaysian financial system.

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.

The Capital Markets and Services Act 2007 (CMSA) repeals the Securities Industry Act 1983 (SIA) and the Futures Industry Act 1993 (FIA). The CMSA which takes effect on 28 September 2007 introduces a single licensing regime for capital market intermediaries. Under this regime, a capital market intermediary will only need one licence to carry on the business in any one or more regulated activities. This will mean less cost and paperwork for capital market intermediaries who carry on more than one regulated activity

Lodge and Launch Framework

The Guidelines on Private Retirement Schemes (Guidelines) are issued by the SC pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA). These Guidelines set out requirements that must be complied with by a PRS Provider and a Scheme Trustee in relation to private retirement schemes. The requirements on matters relevant to members are binding on them including the requirements on account opening, transfer, switching, withdrawal, and nomination.

The Capital Markets and Services Act 2007 (CMSA) provides that any person carrying on the regulated activity of advising on corporate finance must either be a holder of a Capital Markets Services Licence (CMSL) or a registered person. In addition, the Securities Commission Malaysia (SC) adopts a policy of permitting only certain categories of corporate finance advisers to submit applications to the SC in the capacity of principal advisers for certain types of corporate proposals under Part VI of the CMSA.

These Guidelines comprise the following parts: (a) requirements for an issuance, offering or invitation to subscribe or purchase private debt securities (PDS) as set out in Part B of these Guidelines; (b) approval for an issuance, offering or invitation to subscribe or purchase PDS as set out in Part C of these Guidelines; and (c) requirements for an issuance, offering or invitation to subscribe or purchase retail PDS as set out in Part D of these Guidelines.

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.

These guidelines set out requirements to be complied with by any person intending to establish a real estate investment trust in Malaysia and issue, offer or invite any person to subscribe for or purchase units of the real estate investment trust.

The Registration of Shariah Advisers Guidelines is issued by the Securities Commission Malaysia (SC) under section 377 of the Capital Markets and Services Act 2007 (CMSA).

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.

These Guidelines are issued by SC pursuant to section 377 of the Capital Markets and Services Act 2007 (CMSA). These Guidelines set out the requirements to be complied with by any person carrying out short-selling transactions of corporate bonds.

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.

The Securities Borrowing and Lending Guidelines replace the Guidelines on Securities Borrowing and Lending in Malaysia released in December 1995. These guidelines were established to assist participants in SBL transactions understand the broad regulatory framework that governs the SBL market in Malaysia and the application of the Income Tax (Exemption) (No. 30) Order 1995 to SBL transactions. SBL participants are required to observe and give effect to the requirements and provisions relating to SBL as provided in the rules and directives of the stock exchange, clearing house and central depository.

These Guidelines set out 11 core principles of supervision applicable to stockbroking companies and their representatives under the SC’s principles-based regulation and the requirement to comply with the AML / CFT Guidelines. These Guidelines also set forth the standards expected of stockbroking companies, their representatives and where applicable, their employees, in market and business conduct. As a matter of guidance, these Guidelines provide several examples and scenarios to illustrate conducts and activities which in the SC’s opinion constitute market abuses and unethical business conduct.

Guidelines on Sukuk

Structured Warrants

Take-overs Code

These Guidelines seek to provide guidance on the authorisation of unlisted structured products and unlisted unit trust schemes, as well as for the recognition of foreign unlisted structured products and foreign unlisted unit trust schemes/collective investment schemes, as provided for under subsection 212(5)(a) of the CMSA.

These Guidelines on the Registration of Venture Capital and Private Equity Corporations and Management Corporations (Guidelines) are issued by the Securities Commission Malaysia (SC) under section 377 of the Capital Markets and Services Act 2007 (CMSA) read together with section 76 of the CMSA.

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