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
    Revised the Guidelines on Prevention of Money Laundering and Terrorism Financing for Reporting Institutions in the Capital Market (AML Guidelines)
    Achieved swift and targeted enforcement actions for credible deterrence

    Monetary penalty imposed on an audit partner
     for non-compliance to the International Standards on Auditing requirements

    Over RM13 million in restitution has been ordered
    to be paid to compensate 106 investors of the 'Euro Deposit Investment Scheme'

    Entered into 2 regulatory settlements in Q2 2021, with amount disgorged totaling

  • Continued push on digital and innovation

    Drove development of the fintech ecosystem

    The SC and the United Nations Capital Development Fund (UNCDF) launched the FIKRA Islamic Fintech Accelerator
    Programme to develop a vibrant Islamic fintech ecosystem

  • Enhanced fundraising ecosystem to facilitate economic revitalisation
    Increased fundraising efficiency

    Amended the Guidelines on Unlisted Capital Market Products Under the Lodge and Launch Framework (LOLA Guidelines)
    in light of the enhancements to the LOLA system

    Sustained fundraising access

    Ensured continued operation of the capital market during the MCO period to support the resilience and recovery of the Malaysian economy
  • Scaled Environmental, Social and Governance culture

    Scaled SRI culture in ESG

    The Joint Committee on Climate Change (JC3) hosted its flagship event on climate change aimed at sharing knowledge, best practices and solutions in tackling climate change

    2nd NaviGate continued to raise awareness of Sustainable and Responsible Investment (SRI)
    to finance companies’ green and sustainable projects. Attended by more than 200 participants

    SIDC SRI Virtual Conference 2021 held to assist business leaders and policymakers in recognising the challenges and opportunities posed by unprecedented changes in the global market

    Strengthened governance culture

    Updated the Malaysian Code on Corporate Governance (MCCG)
    to promote board leadership and oversight of sustainability

    Formalised collaboration with Monash University Malaysia to
    promote early understanding of corporate governance (CG) principles

  • Empowering investors with knowledge, access and options
    Safeguarded investors' interest

    Amended the Conduct and Business Practices for Stockbroking Companies and Licensed Representatives Guidelines (SBC Guidelines),
    which includes measures to protect customers

    Continued updating of the list of unauthorised websites, investment products, companies and individuals through the SC's investor alert announcements

    Heightened investors' empowerment

    Collaborated with partners who have developed online investor education
    programmes to ensure reach despite restricted movements

    InvestSmart® continues to optimise its social media platforms to broaden investor outreach. Pivoted to other digital outreach programmes amid the reinstatement of Movement Control Order (MCO)

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.

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General Email: [email protected]
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