Security Comission Malaysia - INVESTOR ALERT LIST
The Investor Alert List by the Security Commission Malaysia is a crucial resource for providing information about entities that operate without proper authorization. This list helps investors identify potential scams and fraudulent activities in the investment space. By highlighting unregistered firms and individuals, the Investor Alert List aims to protect the public from investment risks.
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1,625 Entities in Security Comission Malaysia - INVESTOR ALERT LIST
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Upstox Pro | Company | Jan 1, 2023 | active |
Bursa Mmalaysia | Company | Jan 1, 2024 | active |
Lumina | Company | Jan 1, 2024 | active |
Sultan Pelaburan Malaysia | Company | Jan 1, 2022 | active |
Investors Wizard | Company | Jan 1, 2021 | active |
Capspring Temasik | Company | Jan 1, 2024 | active |
Amanah Laju | Company | Jan 1, 2024 | active |
Monaxa Broker | Company | Jan 1, 2024 | active |
Windsor Brokers | Company | Jan 1, 2023 | inactive |
Cloud Technical Analysis | - | Jan 1, 2021 | active |
FAQs
Why is compliance with the Securities Exchange Commission of British Columbia - Disciplined Persons List necessary?
The Securities Exchange Commission of British Columbia's Disciplined Persons List is essential for maintaining the integrity of the financial markets. Compliance with this list helps protect investors from engaging with individuals or entities that have a history of misconduct, ensuring a fair trading environment. By adhering to these regulations, investors and financial institutions can mitigate risks associated with fraud, malpractice, or unethical behavior. Ultimately, respecting this list fosters trust in the financial system and upholds the rule of law in securities trading.
Which companies should comply with Securities Exchange Commission of British Columbia - Disciplined Persons List?
The Securities Exchange Commission of British Columbia's disciplined persons list primarily impacts financial services firms, including investment advisors, broker-dealers, and mutual fund companies. These entities must comply to ensure they operate within legal and ethical standards. Adhering to regulations protects investors, maintains market integrity, and fosters public trust in the financial system, crucial for a stable economy.
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