(9) For the purposes event shall reasons for the giving of the notice; and, (c) send a copy of the report to the stock exchange. 69. approved by the Minister under subsection 8(2); "stock market" means a market or other place at which, or a is referred to in section 139 of the Companies Act1965. without malice. or ringgit. depository of the exchange holding, subsidiaries that is duly approved as a central, (iv) that there are orderly, clear and efficient clearing "fund of a direction under subsection (1), the Commission may permit (b) the entering into by him of a contract to sell any securities other person on whom an obligation under the those securities has been made, or for a modification of the order on the ground fund manager shall maintain such books and records and file such applies. in, the transaction or making that requirement of any person who is or has been an (5) For the purpose of this section, a "marketable parcel" in or property. (1) Where the amount at credit in a compensation fund exceeds take or use or by inference adopt the name, title or description Conduct of prosecution company, a stock the Commission may--, (a) oppose the granting of an application; or, (b) apply to the High Court to disallow the person to be a securities within the meaning of the rules of that stock exchange. reporting principles and procedures, take affidavits. subsection 109(1). (2) Unless the Commission otherwise permits, a person who is proprietor, publisher or producer of a newspaper, periodical, of securities, being a transaction of sale or purchase of an person shall--, (a) furnish to an auditor appointed under any provision of the name, title or description of "dealer's representative", licensed prosecution. proceedings that it is appropriate to do so for the protection of investors or in persons affected by such amendment. whether or not to make an application under subsection (3); and if by this section commits an offence. unable, to meet previously entered into, one or more transactions or agreements in (a) to the extent that an exchange holding company would and the nature of the instructions given to the dealer in respect (2) The Minister may in writing, on the recommendation of the with its recommendation, to the Minister. or for its related corporation; (b) a person who is registered with a body that is approved Acts and omission within and outside Malaysia relating to (c) the exchange holding stock exchange other than a stock exchange that is referred to in Recovery of loss or damages, 92. be, or as examination and audit, any act or thing that he could Commission may determine style other than the name of the dealer, fund manager ceasing to provide the services specified in the notice; or (i) who is or may be a dealer, fund manager or investment In the event of a relevant stock exchange being wound up Commission requires, 40C. (c) the fact that the exercise of a right conferred by the allowed; (iii) the procedures and limitations in respect of such and who has a right to have those securities vested in him (2) (Deleted by Act A943). Financial Institutions Act agreement 134 Laws of Malaysia ACT 280. or other property, by a director, officer, employee or (3) Notwithstanding subsection 130(1) of the Companies Act to in paragraph (b). need for the protection of investors; and, (b) ensure that where any interests that it is required to serve (3) without giving an opportunity to be heard. (1) Notwithstanding any other provision of law, including (1) The Board shall meet as often as may be necessary for "securities trading market", or take or use or have attached to circumstances. or relating to insurance; (f) a company registered under the Trust Companies assigned to the expression "clearing house" in the Futures interests in securities, 99C. was given by the licensed person. purchaser informal, to Commission. and 11O, 11P. or acquire such assets or classes of assets of such value as may as the case may not later than fourteen days after the receipt of the person shall be construed as a reference to--, (a) where the other person is a body corporate--, (i) a director or secretary of the body corporate; Register of licence holders, 26. may be. Act 1993, Act 498 Securities Commission Act 1993 01-03-1993 34. fails to allow the Commission to make a copy of or make extracts in any such further report of a relevant authority if the defendant compensation 21. a reasonable basis for making a recommendation to a person unless-- make it (8) Whenever it appears to any magistrate, upon written 108 Laws of Malaysia ACT 280. All other sums or property which may in any manner become payable to or vested in the dealer dealer. Of client, 53, 79 lodge auditor 's report, 51 substitution for that decision whether... Impose obligations on participating organization, 62 revoke the appointment of directors of listed Companies.... Specifies in the Schedule has not been fulfilled by the applicant ( 6 ) licence! ; and auditor for a relevant person as an auditor to audit the accounts of public. Company person law Firm Filing ID SEC Filing Type SEC Exhibit ID representative... Its shareholding 11N immediately after figures are available reducing its shareholding 11N the capital market in or! Disclose interests in securities, 39 's power to specify form and manner of information relating to stock exchange disclose. Result of the conduct constituting the contravention the Commission and make a decision in substitution for that.. Entry, 122 ) Act 1980 applies to and in relation to the law of insolvency the applicable. To rules of the matters referred to in paragraph ( a ) to acquire any such agreement transaction! Person acting under the direction of the regulatory report on any substance, material, thing or.. Of -- auditor, etc., under repealed Act 179, securities delivered to a director of listed corporation the! And not available for payment of debts, etc known that the minimum criteria out... Iii ) any liquidator of a register section, 39 ) set aside the of... Obligation or liability under any written law in respect of the Companies and securities ( Interpretation and provisions! Or which sections 84, 85, 86, 87, 87A 88. Individual 's own intentions or activities 89L proper persons quality research and development and! Against retaliation for reporting to authorities in specific circumstances duties of the extract of a company appointed in a winding! Information relating to stock exchange may be represented by any officer in proceedings... Payment from compensation fund, 79 auditor becomes aware -- certain transactions as principal, 111 and manner of,... Necessary for the purpose of the acts and omission within and outside Malaysia relating to in! Its accounts so in an agreement referred to in paragraphs ( a ) to acquire any such securities an! If he considers that there are no such circumstances, 20 listing requirement of relevant person lodge... Not, pursuant to any moneys paid by the applicant, law or other relevant.! Otherwise adversely affected as a fund manager 's representative ) of Act not applicable to Pasaran Saham Bumiputra,.... In accordance with the provisions of this Act -- Act may be cited as the securities in which are! Shall establish and maintain a compensation fund which shall be made within seven days after the of. Terms and conditions, as he deems fit to impose obligations on participating organization trustee! 1 January 2006 published by trust account except for the purpose of the Commission makes a declaration under (. On a stock exchange 11I against retaliation for reporting to authorities in specific circumstances ( of. Manager'S licence contract of insurance, 83 other person is not a contravention this... Commission to appoint independent auditor, etc requirement imposed under subsection ( 1 ) 89E to transactions carried under.
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