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
  • Capital market masterplan 3 aims for a more relevant, efficient and diversified market
  • Strengthened regulatory agility for market integrity
    Maintaining market integrity and stability

    Extension of temporary suspension on Intraday Short Selling (IDSS) and
    Proprietary Day Traders (PDT) Short Sale (IDSS Activities)

    Enhanced controls for fund managers via the review of Guidelines on Compliance Functions for Fund Management Companies relating
    to disclosure of interests and best execution rule
    Achieved swift and targeted enforcement actions for credible deterrence
    Enhanced enforcement actions and reprimands against audit partners/firms for failing to comply with international auditing and ethical standards

    Convicted a former group accountant of
    Asia Media Group with a sentence of a 1-day
    imprisonment and a total fine of RM1.08 million

    Took swift enforcement action against Binance, an unregistered digital asset exchange (DAX) in Malaysia
  • Continued push on digital and innovation
    Enhanced investment options through innovative digital solutions
    Facilitated Go-Live of recognized market operator (RMO) - DAX
    Enhanced technology ecosystem

    Facilitated initiative by Federation of Investment Managers Malaysia (FIMM) on digital verification of Consultant registration status

  • Enhanced fundraising ecosystem to facilitate economic revitalisation
    Increased fundraising efficiency
    Enabled Bursa Malaysia to become the one-stop centre for all approvals in relation to ACE Market listing effective 1 January 2022
    Provided greater regulatory clarity on offer of unlisted shares via the new Guidelines on Offer of Shares by Unlisted Public Companies to Sophisticated Investors
    Enabled initial exchange offering (IEO) of digital assets through a RMO, and an IPO via cross-listing of shares of a foreign listed corporation, through the amended Capital Markets and Services Act 2007 (CMSA)
    Enhanced intermediation landscape
    Approved 2 applications for new Capital Markets Services License (CMSL) and 392 applications for new Capital Market Services
    Representative’s Licence (CMSRL)

    Enhanced SRI and ESG culture

    Improved regulatory clarity through the revised Sustainable and Responsible Investment Funds Guidelines (SRI Funds Guidelines)

    Strengthened governance culture

    Promoted early understanding of corporate governance principles through the Securities Commission Malaysia (SC)-Monash University Malaysia Collaboration Agreement, with the
    inaugural lecture by SC Chairman

    Facilitate greater access to Shariah compliant fund raising activities for MSMEs in Halal economy
    Greater MSME outreach through the jointly-hosted inaugural forum on Shariah-compliant fundraising for micro, small and medium enterprises (MSMEs) with the Halal Development Corporation Bhd (HDC)
    Wider access to market-based ICM financing enabled via the
     introduction of Shariah Screening Assessment Toolkit for
     Unlisted MSMEs
  • Empowering investors with knowledge, access and options
    Safeguarded investors' interest and widened investor options
    Widened the categories of sophisticated investors through amendments to
    Schedules 6 and 7 of CMSA
    Heightened monitoring of the conduct of
    licensed representatives through the issuance
    of Guidance Note on Oversight of Licensed Representatives by Stockbroking
    Facilitated the introduction of the
    new Ringgit MalaysiaDenominated East
    Malaysia Crude Palm Oil Futures (FEPO)
    Contract through the amendments to Bursa
    Malaysia Derivatives Rules
    Heightened investors empowerment
    Broadened InvestSmart® investor outreach by optimising the social media
    platforms. Pivoted to other digital outreach programmes amid
    movement restrictions
    Collaborated with partners who have developed online investor education
    programmes to ensure reach despite restricted movements
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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