Capital Markets Discipline & Misconduct

This work provides a comprehensive understanding into the legislative and regulatory framework of the CMSA 2007 over the important subject matter of discipline and misconduct in the capital markets. Its coverage includes judicial and administrative enforcement of the capital market rules by the regulatory authorities and the remedies that are afforded to private persons who are aggrieved by misconduct, the raising of debt and equity capital, disclosure rules and the duties and responsibilities of market intermediaries and artificial interferences or distortions with the natural forces of supply and demand on the stock exchange.

This work also covers the most recent amendments to the Securities Commission Malaysia Prospectus Guidelines, which came into effect on 13 March 2019.

Table of Contents:

Chapter 1 The Framework of Securities Regulation: An Overview

Chapter 2 The Enforcement and Compliance Regime: CMSA and SCA

Chapter 3 The Enforcement and Compliance Regime: Main Board Listing Requirements

Chapter 4 The Chief Executive and Directors of Listed Corporations

Chapter 5 The Equity Capital Market

Chapter 6 Market Securities: Bonds and Sukuk

Chapter 7 The Prospectus

Chapter 8 Regulation of take-over, merger and compulsory acquisition

Chapter 9 Public Disclosure Rules: the MMLR

Chapter 10 Circulars: Requirements under the general law and the MMLR

Chapter 11 Liability for False or Misleading Statements: Part VI of the CMSA

Chapter 12 Market Misconduct

Chapter 13 Insider Trading