ENFORCEMENT ACTIVITIES | 2015 | 2016 | 2017 | 2018 |
---|---|---|---|---|
Cases referred to Enforcement | 22 | 27 | 20 | 16 |
Investigations initiated (no. of cases)
| 10 | 13 | 8 | 6 |
Investigations completed (no. of cases)
| 13 | 10 | 10 | 12 |
Persons charged in criminal proceedings
| 17 | 17 | 10 | 8 |
Criminal charges laid
| 220 | 61 | 39 | 14 |
Persons against whom civil actions initiated
| 5 | 2 | 20 | - |
Person involved in regulatory settlements
| 6 | 2 | 7 | 3 |
Administrative actions
| 41 | 37 | 32 | 80 |
Enabled offering of fractional share trading to increase affordability and flexibility for investors in the public market
Engaged fund management companies to identify potential opportunities and issues in the fund management industry
Enhancing the multi-stakeholder ecosystem for environmental, social and governance (ESG) andsustainable and responsible investment (SRI)
Established a consultative group comprising cross-segment of stakeholders to solicit feedback on key issues and considerations to develop Malaysia’s National Sustainability Reporting Framework.
Held the 11th Joint Committee on Climate Change (JC3) meeting the towards reviewing the progress and action plans of JC3 and held discussions on the SME Focus Group's role in enhancing awareness, certification, and SME disclosures, as well as the financial sector’s role in facilitating the National Energy Transition Roadmap’s initiatives towards a sustainable and inclusive energy system.
Enhancing financial literacy
Continued to promote investment literacy and raise awareness on scams and unlicensed activities through 13 InvestSmart programmes, including the Agen Bijak Labur Desa (ABJAD) program, which reached out to 12,500 participants in rural areas.
Increasing investor options
Introduced flexibility for wholesale fund managers to invest in alternative investment products beyond the current conventional assets such as securities, derivatives, money market instruments and deposits