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 |
|---|---|---|---|
PMB Investment Berhad (“PMB”) | - | Apr 10, 2023 | active |
Dato' Ir. Noor Azmi bin Jaafar; Dato' Majid bin Mohamad; Sharina Bahrin; and Teh Sew Hong. | - | Jul 22, 2020 | active |
Lau Min Thung (“Lau”) | - | Dec 9, 2019 | active |
Niche Capital Emas Holdings Berhad (“NICE”); and$Individual directors of NICE in relation to the following Audited Financial Statements (“AFS”):$AFS for financial period ended 30 June 2011 (“AFS 2011”) Dato’ Tan Sek Yin Ng Chin Nam Patrick Cheng Ther Wee Md Shahar Md Noor Yap Chee Keong$Dato’ Tan Sek Yin$Ng Chin Nam$Patrick Cheng Ther Wee$Md Shahar Md Noor$Yap Chee Keong$AFS for financial period ended 31 December 2012 (“AFS 2012”); Dato’ Tan Sek Yin Ng Chin Nam Patrick Cheng Ther Wee Mah Weng Kee Dato’ Tiong Chau Siong$Dato’ Tan Sek Yin$Ng Chin Nam$Patrick Cheng Ther Wee$Mah Weng Kee$Dato’ Tiong Chau Siong$AFS for financial year ended 31 December 2013 (“AFS 2013”) Dato’ Tan Sek Yin Ng Chin Nam Mah Weng Kee Dato’ Tiong Chau Siong$Dato’ Tan Sek Yin$Ng Chin Nam$Mah Weng Kee$Dato’ Tiong Chau Siong$ | - | Sep 2, 2015 | active |
Public Mutual Berhad (a Capital Markets Services License holder carrying out the regulated activity of fund management and dealing in securities restricted to unit trust). | - | May 16, 2016 | active |
Xingquan International Sports Holdings Limited (“Xingquan”) | - | Feb 15, 2019 | active |
Ranjit Singh a/l Nashter Singh (a Capital Markets Services Representative’s Licence holder carrying out dealing in securities at AmInvestment Bank Berhad) | - | Apr 21, 2011 | active |
PM Securities Sdn Bhd (“PM”), a holder of a Capital Market Services Licence ("CMSL") for dealing in securities | - | Dec 18, 2019 | active |
HwangDBS Investment Bank Berhad (“HDBSIB”) (a Capital Markets Services Licence holder carrying out dealing in securities and advising on corporate finance) | - | Apr 4, 2011 | active |
SJ Securities Sdn Bhd (“SJ”) (a holder of a Capital Markets Services Licence carrying out the regulated activity of dealing in securities) | - | Aug 15, 2016 | 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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