Malaysia Securities Commission Administrative Actions
The Malaysia Securities Commission (SC) oversees the capital market in Malaysia, ensuring fair and transparent practices. The administrative actions list includes decisions made by the SC against individuals or entities that violate securities laws and regulations. These actions can range from fines and suspensions to more serious penalties like revocations of licenses.
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680 Entities in Malaysia Securities Commission Administrative Actions
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Datuk Muniswaran @ Yogeswaran (“Datuk Muniswaran”) | - | Oct 16, 2023 | active |
Phillip Capital Management Sdn Bhd (“Phillip Capital”) | - | Nov 17, 2020 | active |
Kahar Mohd Tahir (“Kahar”) | - | Aug 30, 2016 | active |
Cheah Pui San (“Cheah”) | - | May 23, 2022 | active |
LT International Futures (M) Sdn Bhd (Capital Markets Services Licence holder for the regulated activity of dealing in derivatives) | - | Sep 22, 2022 | active |
Abd Malik Bin Abu Bakar as holder of a Capital Markets Services Representative’s Licence (“CMSRL”) carrying out the regulated activities of dealing in securities. | - | Apr 18, 2017 | active |
Zuridah Mohamed (a Capital Markets Services Representative’s Licence holder carrying out dealing in securities for ECM Libra Investment Bank Berhad) | - | Feb 24, 2011 | active |
TA Investment Management Berhad (“TA Investment”), a holder of Capital Market Services License (“CMSL”) for dealing in securities restricted to unit trust, fund management in relation to portfolio management and dealing in private retirement scheme | - | Jul 18, 2019 | active |
Dr. Tan Chong Koay (a Chief Executive Officer and Licensed Director carrying on fund management at Pheim Asset Management Sdn Bhd) | - | Jan 13, 2012 | active |
VCB Capital Sdn Bhd, a Capital Market Services Licence Holder for the regulated activity of fund management (fund management in relation to portfolio management) | - | Jun 19, 2019 | active |
FAQs
Why is compliance with Malaysia Securities Commission Administrative Actions necessary?
Compliance with the Malaysia Securities Commission (MSC) Administrative Actions is essential for several reasons. First and foremost, these actions are put in place to maintain the integrity and stability of the financial market. By following these guidelines, businesses help protect investors and promote fair trading practices.
Which companies should comply with Malaysia Securities Commission Administrative Actions?
The Malaysia Securities Commission's administrative actions affect companies in the finance and investment sectors, including brokers, fund managers, and public-listed companies. These entities must comply to ensure they meet legal standards and maintain investor trust. Non-compliance can lead to penalties, loss of licenses, and reputational damage, making adherence essential for business stability and credibility.
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