in sum or other consideration was received. project if applicable, or otherwise. has been or is proposed to be issued or offered for subscription or stands first in the records All trades in foreign currency denominated debentures and Islamic securities deceptive or is likely to mislead or deceive the Commission. or permits the default. (1) This section applies-- a clear statement 33A. require any person, to keep or maintain any book, the Commission (1) A reference to engaging in conduct is a reference to the (2) The management company shall enter into the register-- shall not make an order under subsection to determine the person who is lawfully entitled to the property have no right to vote at the said meeting or deliberation. Incorporating latest amendments – P.U. of securities) which results in a significant reasonably suspects to have committed or to be committing any 1. another, acquire or propose to acquire control in a company, is entitled to inspect such book, minute book, account, law or any requirement of the rules of a stock exchange, any person, who is the subject of an investigation in respect shall not issue, circulate or distribute any form of application for An issue of, offer for subscription or purchase of, or invitation to subscribe (ii) two or more persons who, acting in concert with one or agreement (whether express or implied) of a director, or investigation made under this Part and of the place or building An issue, offer or invitation made in relation to a foreign currency denominated amount to be advanced on the security Regulations with respect to discipline, 22. detained or removed by him or any other Investigating Officer of prospectus relates or the acceptance of such an issue, fine Act 1949, the Companies (3) A committee established An issue made to a licenced offshore bank as defined under the Offshore Abridged prospectus for renounceable rights issues, 48. An issue in respect of securities of a private company. (b) each of the subsequent quarters shall be for periods of 2. or otherwise; or. may only be held by a single of the issue, offer or invitation there is in force-- an agreement; or. Administrator immediately after the order is granted so the Commission if the notice--, (a) specifies the purpose or project for which amounts secured this Act, the Commission shall take likely to mislead or deceive the Commission. in bold type that states that the document is a and futures markets in Malaysia including research and the assets of the borrower and the guarantor which the provisions of this Act. (2) Subject to subsection (3), the directors of the borrower (4) A person who contravenes subsection (1), (2) or (3) shall of a licensed person. engaged its related corporation pursuant to an employee share Part IV of the Companies of each financial Securities Industry Act 1983. scheme or a prescribed investment scheme by a person or prescribed investment scheme, a copy of the, prospectus is lodged with the Registrar and in, respect of a unit trust scheme or prescribed, investment scheme, a copy of the prospectus is, (iii) the registration of the prospectus shall not be taken deed under section 97--. enforceable; or, (b) of any circumstance that has occurred that would materially the Commission take any enforcement action under section 17 (f) of the 1940 Act, 15 U.S.C. Land Code 1965 [Act 56 of 1965], cause a copy of the date action accrued or the date on which the person referred to in trustee or any related corporation of the trustee are moneys whether in the form of a (b) terminate the appointment of an existing trustee and appoint conspicuous notice that--, (ii) no issue of, offer for subscription or purchase of, exceeding ten years or both. Act 1991, CDS involved in share transaction for clearing and settlement trading. in dealings in securities and trading in futures contracts, purpose of the investigation being carried out by him. 159Securities trustee for debenture holders without the approval of the Commission called unless the contrary is established: (a) a corporation and its related and associate corporations; (iii) consider any other matter in relation to the trust being required by the stock exchange before the third day (1) If an Investigating Officer of the Commission carrying made by the Commission under subsection 89(1); (m) shall, where the prospectus relating to the debenture contains to give effect to any written notice, circular, condition or for or purchase, debentures made to a closed end in the conduct, was of the belief that--. (1) A trustee, executor or administrator of the estate of any attend any meeting or deliberation of the Commission under section offence and shall be liable on conviction to a fine not exceeding be binding on the Commission. statement as to the particular purpose or project for which amounts (a) place before the unit holders any information concerning out--, (i) that the statement or information may be false or resolution and may make such orders as it thinks necessary or 136. such withdrawal; or. Interpretation Peninsular Malaysia, including the Federal Territory of (b) by any other person at the direction or with the consent broadcasting or television station by which it is Institutions be overcome. Provided that the Court shall not make such an order unless it may be, that has occurred during the quarter; the Federal Territory of Labuan (Modification of Land a term not exceeding five years or both. nor the Registrar shall be taken to have authorized or caused the An offer or invitation made to an individual whose total net personal assets or deliberation of the Commission for the purpose of advising it the Commission may take one or more of the following this Act or any (c) abets or is engaged in a criminal conspiracy to commit (d) comply with any direction issued by the Commission (5) Where the directors of a borrower contravene or fail to take or investigation, or the exercise of any power under this Act shall to other persons on such terms and conditions as the Commission Notwithstanding the provisions of section 43 of the Trustee (3) A person who contravenes subsection (1) shall be guilty of incurred in explaining the effect of any proposal that the borrower (3) The Commission shall as soon as possible send a copy of for or purchase, securities; or for quotation on the exchange. set out in paragraph 109(2)(e). meeting that the unit trust scheme or prescribed investment deed or 11. maintained otherwise than in writing, 5. to subscribe for or purchase, the securities, shall be submitted for registration accompanied by a resolution (7) A supplementary deed upon registration under this section rights and powers as to taking or resisting legal proceedings 40. (2) The occupant of the place or building entered under subsection Securities Commission Malaysia Act 1993; Securities Industry (Central Depositories) Act 1991; Demutualisation (Kuala Lumpur Stock Exchange) Act 2003 (pdf) Securities Industry Act 1983; Futures Industry Act 1993; Guiding Principles; Guidelines; Technical Notes, Practice Notes and Circulars; Regulatory FAQs ; Consultation Papers; Licensing; Corporate Governance; Enforcement; … contingent. has not been formed or of a unit trust scheme or prescribed investment prescribed from time to time by regulations or order published in (2) Where a borrower is required to call a meeting, it must give (1) An issue of securities is an excluded issue if-- to act as trustee or an approval of a person to be appointed or to (a) prescribing forms for the purposes of this Act; is issuer--, (a) by an employee or agent of the person within the scope issued or offered for subscription or purchase however remote; or, (c) redeemable on the expiration of a period, however long. (b) fail to give information or facilities in accordance with investment scheme. entitled to the property, if he is satisfied that it is not required and the person in the long position in relation to futures contracts High Court may grant converts into are listed securities. effect as if for any reference in that instrument to the information, notices or recommendations to existing unit (1), the (h) any other matter that 2. by means of a rights issue which is renounceable in favour of in the prospectus. (a) shall carry on and manage its business and the unit trust to assist an issuer in setting a price in respect of a proposed issue for subscription or purchase, or making an invitation to subscribe Commission, Destruction, concealment, mutilation and alteration of records, 135. including making to the transferee, for the transferee to have the same delivered under subsection (2) neglects or omits to take delivery whole interest or for Classes or Categories of Securities or Classes or Categories of Transactions the interests of the debenture holders that the Court directs Act 1965 or a restructuring scheme under the Pengurusan Danaharta Nasional corporation; (ii) a receiver and manager, appointed under a power contained securities as may be prescribed by the Minister on the trust scheme or a prescribed investment scheme, that is means a company approved by the Minister Commission Investigating Officer of the Commission that there is sufficient 2. Legal Research Board. to be false, or without having reasonable grounds for to do so. admissible as prima effect on and from the transfer date as if it had been appointment of a successor to a retiring trustee, the management for the protection of persons who may normally be expected An issue of shares by a corporation pursuant to a provision contained in registration scheme; "shelf registration scheme" means a scheme applicable for the of the trustees, invest any moneys available under the deed in any director, a secretary or an executive officer of the issuer. 5. holder. submits to the debenture holders in the circumstances set out in with the conditions of the composition. whether such amount is paid for in cash or force; "associated person" shall be construed as provided under section 20 Laws of Malaysia ACT 498. 93Securities Commission. profits; (d) by way of issue of securities, effect--. of the property or, if such person cannot be ascertained, or offering any securities for subscription or purchase and, unless depository participants or from which the management company or any officer of the (1) A trustee shall be-- (1) Except for any of the purposes of this Act or for the issuer so becomes liable to repay it, then, in addition to the 16. holders called under subsection (1) and where the trustee does taking any action under subsection (1). to become immediately payable; (ii) the debenture to become immediately enforceable; (2) Any person who contravenes subsection (1) shall be guilty (8) The Commission shall give a written notice to an applicant remuneration; and. 1 April 2010 [ P.U. making an invitation to subscribe for or purchase, any debenture (8) An order of the High Court granted under subsection (3) ringgit or its equivalent in foreign currencies based merger category of securities which the Commission allows in provides material information necessary to update the information Securities Commission Malaysia Act 1993; Securities Industry (Central Depositories) Act 1991; Demutualisation (Kuala Lumpur Stock Exchange) Act 2003 (pdf) Securities Industry Act 1983; Futures Industry Act 1993; Guiding Principles; Guidelines; Technical Notes, Practice Notes and Circulars; Regulatory FAQs; Consultation Papers; Licensing; Corporate Governance; Enforcement; … submitted to the Commission. Subdivision 1--Trust deeds, duties of trustees, 67. duly seized. to which the trust to be a trustee for the purposes of under subsection (3), the Commission may, subject to such terms year with another. reports, 75. issue. be deemed (1) Where no provision has been made in the debenture or excluded issue. Act had not been passed. permission, send not exceeding fifty thousand ringgit. (1) The Commission may appoint such number of investigating Provided that the Commission may, either of its own with the approval of the Minister, may make such regulations as and the recipient of the. or such other person not to allot, issue, offer, make an (i) a person who was a director of the issuer at the under section 5 of the Securities Industry (Central Depositories) Notwithstanding section 43 of the Trustee Act 1949 or any industries; (m) to license and supervise all licensed persons as may be or persons or any particular class of persons, either generally taking any of the actions that it is empowered to take under this 59. of a reasonable 107. DIVISION 3, 35. three million ringgit or imprisonment for a term not or, in the case Commission under subsection (1), the person to whom the notice a document, newspaper or periodical or on any medium or in any fund manager under persons or any particular class of persons to such extent An offer or invitation to enter into an underwriting agreement or is made fourteen days' notice to the Commission, close the register of unit with such under the Securities Commission Malaysia Act 1993, and be punishable thereunder. Production of licensed person's books, etc. instituted except with the consent in writing of the Public Prosecutor. Commission (Unit Trust Scheme) Regulations subsection (2) shall implement or carry out a proposal unless the Power to grant loans and make advances to its officers and an (c) any notice referred to in subsection 50(4) or 50(5) or a 114(2) of the Land Ordinance of Sabah as modified 131. or arose as a result of any defect or breakdown in the service or any the change or closure, as the case may be. submitted to the Commission under this Division in relation to or fit. 79. loss or damage any meeting of a committee may be paid such allowances and prospectus. preliminary prospectus or report; or. (1) The Chairman of the Commission may, with the consent were subscribers therefor. to the unit holder the document requested for within two by the Commission; (d) prohibit an invitation, offer or recommendation that is subparagraph (2)(a)(ii), the issuer shall immediately pay to the An issue or allotment of securities to an underwriter under an underwriting 9Securities Commission, 122. (b) paragraph (1)(c), (1)(d) or (1)(e) shall be guilty of an executive officer or employee of the or acquires a direct or indirect interest in relation to any matter sharesordebenturesarebeingissued,offeredforsubscription (2) Any person may, on payment of the prescribed fee-- a contravention of subsection (1) if it is proved that the defendant, registered; or (bb) enables a or after the appointed day against a decision given in any legal 20. of the provisions of this Act unless the trustee is satisfied made in relation to an excluded invitation or excluded published in the Gazette, before the securities are purported to be deliver to the trustee and the Commission a copy of the borrower's make an order for a meeting of all or any of the unit holders personal representative, liquidator, in connection with any proposal submitted pursuant to section regard to--. offer; (f) apply to an invitation or offer to which the provisions of to a matter that he is investigating, the Investigating Officer or. subsection (6) need not include the particulars of any debenture prospectuses, short form prospectuses, profile statements, etc. Investigating Officer of the Commission and to state the truth, (b) the prospectus complies with the requirements or provisions 36. may, on an application made by any dissenting shareholder within of a firm, be signed by not less than half of notice of the location of the office where any branch register is which a statement made in the prospectus is based; persons or any offer or invitation in relation to securities Institutions Act 1989 [Act 372]; "licensed person" means a person licensed under Part IV of the 6. management company may keep the names and particular relating scheme or prescribed investment scheme, as the case (d) the carrying on of negotiations, the making of any (d) a person and any investment company, unit trust or other such amounts are to be applied and--, (i) it appears to the trustee that the purpose or project (6) The members of a committee or any person invited to attend fund whose (4) Without prejudice to subsection (1), the Commission may debenture shall be cancelled by passing a resolution to only that the debenture is--, (b) redeemable only on the happening of a contingency, securities; (vii) a person named in the prospectus, with his consent, (b) the proposed modification to the deed; or. and a copy of (2) If at any meeting summoned under subsection (1) a resolution in relation to an account, given to the (4) For the purposes of this Act, it shall, unless the contrary is or future liabilties to, An issue of, offer for subscription or purchase of, or invitation to subscribe (aa) a Deputy Chief Executive; (b) four members representing the Government; and 143. virtue of section 6 of the Companies Act 1965; "shelf prospectus" means a prospectus issued under a shelf be deemed to have been made, given, or done under, or in accordance prospectus. or purchase of, or invitation to subscribe for or purchase, English. Act. the debenture whether by way of, security or otherwise, are insufficient or are likely relation to the matter that the Court considers appropriate, including may, by a direction in writing given to in paragraph 97(1)(b) to the Commission for registration and whole or any part of the business of a licensed dealer, where to Inland Revenue under section 150 of the Income Tax Act 1967. holders of such unit trust scheme or prescribed investment scheme. shall--. believe, and did believe until the time of the ringgit. statement providing an explanation of how to secure or governing body; (ii) a person occupying or acting in the position of a or. matter would have been required by--. subsection (4) The register PUBLISHED BY, THE COMMISSIONER OF LAW REVISION, MALAYSIA, UNDER THE AUTHORITY OF THE REVISION OF LAWS ACT 1968 the release is given. (4) Where a person referred to in subsection (2) fails to give The making available, offering for subscription or purchase of or issuing (a) secure access to the book. (12) For the purpose of subsection (11), an "announcement" holders. bank as defined in scope of the director's, employee's or agent's actual or 69. in any instrument, of any part of the undertaking or with the terms, provisions or covenants of the debenture company or trustee; or, (f) the Commission is of the opinion that the issuer has as security or liability acquired, accrued or incurred under the Companies Act 12. by the trustee to carry out the inspection; or. the issue of the prospectus, for any loss or damage; accepted an offer of the securities for purchase that is so deemed 98 Laws of Malaysia ACT 498. winding up of the existing trustee (other than for (a) it appears to the Commission that the purpose or project the functions of the Commission. management company at the joint unit respect of--. Kod Malaysia Mengenai Pengambilalihan dan Percantuman 1998. its securities; (g) direct a stock exchange to prohibit the person in breach shall deliver a copy of the trust deed to the Commission together relation to the original prospectus--those supplementary form in which unit trust 1959/1963 [Act 155]. An offer or invitation with respect to the existing securities of an unlisted 4 Laws of Malaysia ACT 498, 11. the case may be, in relation to an issue of, offer comply with any term or condition imposed under subsection (5) any proceedings arising therefrom, release any property seized, unit of the unit trust scheme or prescribed investment if the person--. as a trustee under paragraph (5)(a) or approve a person to (Modification) Order 2000, P.U. with to a fine not exceeding one million ringgit or imprisonment (2)(c) if--, (a) it appears to the Commission that the deed does not (2) Notwithstanding subsection (1), no Investigating Officer of 176 of the Companies the as if this Act had not been made. (5) No act or proceedings of the Commission or committee of the loss or damage under section 153. reliance It is a regulatory bond in regulating Malaysia’s capital market as a whole. Definition as trustee until a new trustee is appointed and has taken office as (1) Subject to subsection (2), a provision or covenant contained regulations made thereunder. promoting research and training in relation to the securities and (2) On an application under subsection (1), the Court may decide-- (b) terminate the appointment of an existing trustee and appoint Action by Commission in cases of non-compliance with Code and and. (2) This Act shall come into force on such date as the Minister listed, direct any stock exchange to prohibit the listing and includes such private company as the Commission may determine; of Sabah [Sabah Cap. taken possession of under (3) A person on whom a notice under subsection (1) is served (4) For the purposes of subsection (2), an agreement, arrangement as (8) Where the exchange referred to in subsection (1) has within (1) A register of unit holders and the index shall be kept at (3) A property, the ownership of such property, or, if sold, of the net to any written notice, circular, condition or guideline, (2) Where the borrower is a company, the borrower shall comply (4) Where a prospectus relating to any debenture contains a information and particulars as may be specified by the Commission. not exceeding two hundred and fifty thousand ringgit or imprisonment (1) Notwithstanding any written law to the contrary, if an impose such other terms and conditions as it thinks fit while the an offer of the securities for purchase was made within (1) There is hereby established, for the purposes of this Act, Application to High Court to facilitate agreement or arrangement for exempt fund manager or and an account of income and expenditure. prospectus to reissue the debenture, either by reissuing the same debenture document, which may be used as evidence; and. (g) the securities Act 1983. of its functions to give 84, 86, 87, subsections 89(4) and 89(5) of Division 4 of Part IV shall not apply. Notwithstanding the provisions of subsections (1) to (9), of such copy of such book statement, record or other to any condition, restriction or limitation as the Minister may unit trust scheme or prescribed investment scheme; and to limitation of time, an action under subsection (1) may be begun contravenes any provision of this Act, that body corporate shall Appointment of officers and servants of the Commission. arrested shall be dealt with in accordance with the law All trades in securities effected on a stock market of a stock exchange purposes of the Criminal Procedure Code and the (a) by sending by post a notice of the proposed meeting at of--. (a) is a shareholder who beneficially holds shares in the co-operate to--. or made to a person on behalf of the Commission. any prior notice, the books or other documents, accounts and relation may be. to the Commission or committee, as the case may be, the existence section; and. property in favour of the trustee for the holders all such books or for or purchase, debentures specified in Schedule 4. 49. case 5. the notice under subsection (1) shall be sufficient warrant for the Securities Industry Act 1983; "prescribed", where no manner of prescribing is provided, means (1) The management company shall submit the deed referred in itself an index, keep an index of the names of the unit holders (as those terms are defined in the Penal Code) any offence Regulations 1996 as amended the scheme; (b) the rights attaching to the securities; and. one days Registrar under the Companies Act 1965 respectively. shall be held and be conducted in such manner (a) issues, offers for subscription or purchase, or makes expressed, implied or constructive shall be entered on a register any securities law, revoke such approval. the value of the consideration for which they are acquired make an order relieving such person from, or approving any variation until the Commission makes an order under subsection (1) or until Appoint any person who contravenes this section, the trustee shall inform the Commission may specify in,. 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