Key Highlights
Cases referred to Enforcement
Investigations initiated (no. of cases)
Investigations completed (no. of cases)
Persons charged in criminal proceedings
Criminal charges laid
Persons against whom civil actions initiated
Person involved in regulatory settlements
Administrative actions
  • Size of capital market and fundraising
  • Fund management
  • Strengthened regulatory agility for market integrity
    Maintaining market integrity and stability
    Conducted close monitoring and issued alerts to remind investors to exercise caution when participating in social media chatrooms promoting specific trades

    Extended temporary suspension on Intraday Short Selling (IDSS)and
    Intraday Short Selling by Proprietary Day Traders (PDT Short Sale)

    Enforcement actions for credible deterrence
    Issued cease and desist order to seven unlicensed operators offering investment advice
    Charged an individual for unlicensed capital market activities and another for insider trading
  • Continued push on digital and innovation

    One new recognized market operator (RMO) registered

  • Strengthened fundraising ecosystem to facilitate economic revitalisation
    Continued fundraising access
    Ensured continued operation of the capital market during the MCO period to support the resilience and recovery of the Malaysian economy

    Amended the Guidelines on Recognized Markets (RMO Guidelines) to expand the types of eligible peer-to-peer financing (P2P financing) issuers

    Announced an extension to the temporary relief measures for listed issuers allowing more time to prepare their financial statements and put in place regularisation plans amid the COVID-19 pandemic
    Granted waiver for companies seeking to list and rebates on annual listing fees for loss-making companies as part of the additional relief measures under the PEMERKASA Strategic Programme
  • Scaling Environmental, Social and Governance (ESG) culture
    Scaling sustainable and responsible investment (SRI)
    Expanded the Green SRI Sukuk Grant Scheme to encourage more companies to finance green, social and sustainability projects through the capital market
    Launched NaviGate: Capital Market Green Financing Series, a programme to increase connectivity to capital market financing. The first edition of NaviGate involved 100 participants from 40 MSMEs
    Expanding ICM prominence in social and impact investing
    Two funds with waqf features were launched in Q1 2021, as part of the SC’s initiative to further develop Islamic social finance instruments
    Strengthening governance culture
    Updated the Guidance on the Conduct of General Meetings to ensure boards address all questions posed by shareholders in a general meeting
  • Empowering investors with knowledge, access and options
    Safeguarding investors’ interest
    Monitored compliance by unlisted public companies to the SC’s Prospectus Guidelines and securities laws in public fundraising efforts, particularly if offered to retail investors
    Expanding advisory channe
    Amended the Licensing Handbook to enable expansion of the scope of permitted activities for financial planners
    Greater investor empowerment
    Engaged over 2,000 investors via 10 virtual outreach events to increase financial awareness and literacy
    InvestSmart® continues to optimise its social media platforms to reach out to a wider audience
about the SC
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