Licensing and Registration - Guidelines | Securities Commission Malaysia

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Licensing and Registration

LICENSING

Licensing Handbook (pdf)
(Date Issued: 28 September 2007)
(Revised: 1 October 2024)

Summary of Amendments to the Licensing Handbook (18th Revision)(pdf)
(Date Issued: 1 October 2024)
Frequently Asked Questions (pdf)
(Date Issued: 14 April 2023)
(Date Revised: 1 October 2024)

Technical Note No. 1/2015 - Clarification On Scope Of Financial Planner’s Advice
- Following the issuance of the revised Licensing Handbook on 15 February 2021, Technical Note 1/2015 shall be rescinded after 31 March 2021
Technical Note No. 1/2022 - Clarification on Licensing Requirements for Persons Offering Digital Investment Advice
Application Kit
Liberalisation of Equity Holdings in Capital Market Intermediaries

FAQs on Liberalisation of Equity Holdings in Capital Market Intermediaries

REGISTRATION

CAPITAL MARKET SERVICES PROVIDERS

Guidelines on the Registration and Conduct of Capital Market Services Providers (pdf)
(Date Issued: 19 October 2018)
(Revised: 28 November 2024)

Summary of Amendments to the Guidelines on the Registration and Conduct of Capital Market Services Providers (pdf)
(Date Issued: 28 November 2024)
Frequently Asked Questions (pdf)
(Date Issued: 19 October 2018)
(Revised: 28 November 2024)
Notification on Material Delegation Arrangements (MS Word)
Notification on Material Outsourcing(MS Word)
Application Form for Chief Executive (MS Word)

REGISTERED REPRESENTATIVES

Guidelines for Marketing Representative (pdf)
(Issued: 23 June 2017)

FAQs on Trading Representative and Marketing Representative (pdf)
(Issued: 23 June 2017)
(Updated: 1 August 2018)

Archived Guidelines
Guidelines on the Registration and Conduct of Capital Market Services Providers (pdf)
(Issued: 19 October 2018)
(Revised: 19 December 2022)
Summary of Amendments to the Guidelines on the Registration and Conduct of Capital Market Services Providers (pdf)
(Date of Issuance: 19 December 2022)
Frequently Asked Questions (pdf)
(Date Issued: 19 October 2018)
(Date Revised: 17 April 2020)
Guidelines on the Registration and Conduct of Capital Market Services Providers (pdf)
(Issued: 19 October 2018)
(Revised: 31 January 2022)
Summary of Amendments to the Guidelines on the Registration and Conduct of Capital Market Services Providers (pdf)
(Date of Issuance: 31 January 2022)
Guidelines on the Registration and Conduct of Capital Market Services Providers (CMSP Guidelines) (pdf)
(Issued: 19 October 2018)
(Revised: 16 April 2020)
Summary of Amendments to the Guidelines on the Registration and Conduct of Capital Market Services Providers (pdf)
(Date of Issuance: 16 April 2020)
Guidelines on the Registration and Conduct of Capital Market Services Providers (CMSP Guidelines) (pdf)
(Issued: 19 October 2018)
(Revised: 14 May 2019)
Notification of Delegation Arrangement for CMSPs (MS Word)
Notification on Outsourcing for CMSPs (MS Word)
Anniversary Reporting by CMSPs pursuant to paragraphs 7.04(a) and 9.14 of the CMSP Guidelines
Annual Data Reporting by CMSPs pursuant to paragraph 7.04(b) the CMSP Guidelines: Corporate Profile and Annual Management Account
Guidelines on Investor Protection (pdf)
(Effective Date: 17 December 2010)
Application for Establishment of A New Stockbroking Company (pdf)
(Issued: 8 January 2008)
(Disapplied from 10 March 2021)
Guidelines on the Establishment of Foreign Fund Management Companies (pdf)
(Revised Edition: 1 July 2000)
(Disapplied from 10 March 2021)
Application for Establishment of Foreign Stockbroking Companies Under the Special Scheme (pdf)
(Effective Date: 1 November 2004)
(Disapplied from 10 March 2021)
Application for Establishment of Foreign Fund Management Companies under the Special Scheme
(Effective Date: 24 December 2007)
(Disapplied from 10 March 2021)

CONTINUING PROFESSIONAL EDUCATION
Guidelines on Compliance with the Continuing Professional Education Requirement (pdf)
(Issued: 1 August 2018)
Frequently-Asked Questions on Enhancement to Continuing Professional Education (CPE) Framework (pdf)
Archived of Summary of Amendments to the Revised Licensing Handbook
Summary of Amendments to the Licensing Handbook (17th Revision)(pdf)
(Date Issued: 5 February 2024)
Summary of Amendments to the Licensing Handbook (16th Revision)(pdf)
(Date Issued: 14 April 2023)
Summary of Amendments to the Licensing Handbook (15th Revision)(pdf)
(Date Issued: 28 November 2022)
Summary of Amendments to the Licensing Handbook (14th Revision)(pdf)
(Date Issued: 11 October 2022)
Summary of Amendments to the Licensing Handbook (13th Revision)(pdf)
(Date Issued: 22 March 2022)
Summary of Amendments to the Licensing Handbook (12th Revision)(pdf)
(Date Issued: 15 February 2021)
Summary of Amendments to the Licensing Handbook (11th Revision) (pdf)
(Date Issued: 21 July 2020)
Summary of Amendments to the Revised Licensing Handbook
(Date Issued: 16 April 2020)
Summary of Amendments to the Revised Licensing Handbook
(Date Issued: 8 November 2019)
Summary of Amendments to the Revised Licensing Handbook
(Date of Issuance: 1 August 2018)
Summary of Amendments to the Revised Licensing Handbook
(Date of Issuance: 23 June 2017)
Summary of Amendments to the Revised Licensing Handbook
(Date of Issuance: 9 May 2017)

SC AFFILIATES

RELATED SITES

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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