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 |
|---|---|---|---|
RHB Investment Bank Berhad | - | Jul 22, 2020 | active |
Datuk Muniswaran @ Yogeswaran (“Datuk Muniswaran”) | - | Oct 16, 2023 | active |
Teh An See (“Teh”) | - | Jun 1, 2023 | active |
Capital Dynamics Asset Management Sdn Bhd (a Capital Markets Services Licence holder carrying out regulated activities of fund management ) | - | Sep 29, 2014 | active |
Navis Management Sdn Bhd (“NMSB”), a holder of Capital Market Services Licence carrying out fund management | - | Mar 21, 2011 | active |
Ong Juan Tee, former Non-Independent Non-Executive Vice Chairman of CAP | - | Jul 14, 2021 | active |
Teo Cern Yong, Former Chief Financial Officer of Xingquan | - | Aug 6, 2019 | active |
Chin Wai Thoe (“Chin”) as holder of a Capital Markets Services Representative’s Licence (“CMSRL”) carrying out the regulated activities of dealing in securities. | - | Jul 6, 2017 | active |
Nor Ashikin binti Khamis (“Nor Ashikin”) | - | Sep 25, 2023 | active |
Khoo Chee Leong a holder of a Capital Markets Services Representative’s License (“CMSRL”) carrying out the regulated activity of dealing in securities. | - | Aug 28, 2015 | 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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