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 |
|---|---|---|---|
Koon Yew Yin Tan Kit Pheng David Chew @ Chew Hooi Boon Yap Sung Pang | - | Jul 14, 2021 | active |
RHB Investment Bank Berhad (“RHBIB”) | - | Dec 18, 2018 | active |
Dato' Lim Khong Soon @ Lim Hock Seng (“LKS”) | - | Apr 11, 2025 | active |
Sharifah Syafeeqah Binti Syed Ahmad Amir Feisal Al-Idrus (“Syafeeqah”) | - | Nov 19, 2021 | active |
Kenanga Investors Berhad (“KIB”) | - | May 30, 2024 | active |
Siti Rahayu Binti Abu Bakar (“Rahayu”) | - | Nov 19, 2021 | active |
BBB Asia Capital Berhad (“BBB”) | - | Nov 25, 2024 | active |
Robyn Lau Zheng-Yin (a Capital Market Services Representative’s Licence (“CMSRL”) holder carrying out dealing in securities at TA Securities Holdings Berhad) | - | May 20, 2015 | active |
Ho Sze Lip (a trading clerk with ECM Libra Avenue Securities Sdn Bhd, at the material time, now known as ECM Libra Investment Bank Berhad. As at 15 Dec 2010, Ho had ceased to be registered as a trading clerk with Mercury Securities Sdn Bhd) | - | Feb 24, 2011 | active |
Chen Xunze, Executive Director of CAP | - | Jul 14, 2021 | 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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