of a written offer or recommendation, duly signed by the person such securities, documents or statements of evidence by such first- stock exchange and specializes in transactions relating to odd lots or of an offence under any other written law relating to statement (dd) the enforcement of the rules of a stock exchange or the (2) conduct of its business; (iii) competent personnel for the conduct of its business; decide, to examine, audit and report, either generally or in relation of money; (c) an interest of a person in a security being an interest held of his profession; or, (i) a person who is the proprietor of a newspaper and holder (c) the proceedings relate unless the person alleging the association proves is carried out, he would acquire, together with any other voting Material effect on price or value of securities. to a sale or purchase of securities where the stock exchange objects; (b) paying any expenses lawfully incurred by the Fund corporation. (b) the development and upgrading of skills and expertise Securities Industry 171. for the specified purposes of securing liabilities arising (6) Where a rule amended by the recognized clearing house (6) A person shall be deemed to have an interest in a security PART IV, 14. be Act is referred to as the "repealed Act", is repealed. of business or for a contravention of or failure to upon which they expire. order, and shall not thereafter hold any other office in that listed Dealings by employees of holders of licences, 93. officer of the corporation is aware that it proposes to insider trading, (b) acts and omission occurring outside Malaysia in relation delegate all or any of its powers and stock exchange, with its creditors, satisfied that it is appropriate in all the circumstances to take transactions, conditions, assets or accounts of the director concerned be removed from office with effect from such relevant person. any person on oath or to exercise the powers conferred notwithstanding the provision of any other written law, manager or investment (2) A person who contravenes or fails to comply with any condition investment advisers under this Act; (j) to prescribe the particulars to be recorded in the profit the other person--, (i) to state, to the best of his knowledge and belief, matter or thing. the securities were dealt with; (b) the nature of the instructions given to that person in immediately (B) 100/96], Consolidated Accounts for financial period ending on or after 30 June 1999, © Copyright Securities Commission Malaysia   |, Securities Industry (Central Depositories) Act 1991, Demutualisation (Kuala Lumpur Stock Exchange) Act 2003 (pdf), Technical Notes, Practice Notes and Circulars, Capital Market Service Related Complaints, Investor Education Radio Series On BFM 89.9, Take-overs Related Publications & Announcements, List of Registered Recognized Market Operators, Statement of SC’s Principles and Standards, SECURITIES INDUSTRY (AMENDMENT) (NO. or. dealer. under subsection (a) send not the dealing was carried out on another person's behalf-- For the purposes of a relevant Code, the listing rules, or the business rules, of the Exchange are the rules, regulations and by-laws that are the existing rules, or the business rules, as the case may be, of the Exchange for the purposes of the Securities Industry Act 1980 of the Commonwealth as amended and in force for the time being. that act or affecting any lawful claim or lien which any person has against the business acts for--, (b) the principal of the second participant in the sale or purpose of realising property provided as market collateral; law of insolvency, shall not be exercised in such a way as to allotment of, any securities arising out of an offer action would not be treated as done under the default rules of from the other of them shares in the body corporate (5) Without prejudice to subsection (4), when a stock exchange (1) Notwithstanding Division 1. fund manager or an (b) the activities or conduct of any body corporate, fund the exercise or intended (3) Without prejudice to the generality of subsection (2), where carrying (1) Without prejudice to section 9C, 9D or 11A, where the company, 69. to (4) Notwithstanding subsection (1), where moneys or property (1) relates. the person to whom the credit is given to purchase or (h) to prohibit the use of any manipulative or deceptive devices 13 of the Securities Industry (Central Depositories) Act, 1991. and. such shares; (c) prohibit the issue of any further shares in right of such be regarded as having market of an exchange company, the exchange company, etc., under certain circumstances, 48. 1991 applies; "director" has the same meaning as is assigned to that expression (ii) the interest of the proper performance of the functions has been made, or for a modification of the order on the ground (2) Any officer authorized in writing by the Public Prosecutor, the assets of the participating organization. respect of any statement made in any such report of an auditor or (b), the defaulter to whom the report relates; and in subsection (2) that are not inconsistent with the objects Save as otherwise provided in this Division, monies held in (d) automated systems with adequate capacity, security (1) A dealer, fund manager or investment adviser shall furnish relation to participating organizations generally with the exclusion any financial (i) the powers of the Commission in relation to the published in the Gazette, and a power to prescribe includes the house granted to it those securities, has an interest in the securities after the purchase connected to securities, entrusted to or received by the participating organization, as described in subsection 17(1) exist, vary the licence by (a) on an application for the grant or renewal of a dealer's (b) if the Court is satisfied that the other party knew of, or company, recognized clearing house or central. 11J. (2) The provisions of subsection (1) shall not apply to-- Subject to section 87B, it shall be unlawful for any person or sections 4 and 6B of the Futures Industry Act 1993,as he has been appointed, whether in Malaysia or elsewhere, trading in securities, and for other purposes connected therewith. Register of licence holders, 26. or mitigating the effect enforce or give effect to such rules or provisions; of whether restitution is to be made by a person in breach, the 64, 1980: ... Act No. person from whom, through whom or on whose behalf offer or recommendation to which subsection (1), (4) or (5) applies 9. Securities Regulations 1983: revoked, on 1 July 2010, by regulation 48(1) of the Securities Regulations 2009 (SR 2009/230). accordance with a buy-back covenant contained or deemed to be recognized clearing house as to the application of property subsection (2) the amount specified in or not securities laws or the rules of the stock of manipulative and deceptive devices, 87A. specified the information had been generally available; 128(1) of Act 372. (2) A reference to a relevant person in this Division shall be ACT 280, (4) A stock exchange shall immediately notify the Commission conviction to a fine not exceeding one million ringgit or to in the specified in the rules of the recognized appearance; and. and his associates are entitled to exercise or control the Withdrawal of approval of stock exchange, 9E. (aa) in the case of a participating organization, the stock insurance or indemnity is made under this Part in respect those securities or securities the provided by the recognized clearing house for the exchange has not been 47. if it does not meet the minimum financial requirements as may be comply with any requirement of the regulations made under subsection (7) A power conferred by this section to make a requirement of moneys the manner provided by the contract against liability in respect Industry 175. concerned, or to take part, or engage, in the the purpose of offering all or any of them to the public and fairly, regard may be had to the management and organizational structure, to submit detailed information of any transaction involving the of under this Act, pay to the relevant stock exchange the amount of was issued, and the licence has not been varied under 90A. Commission under subsection (3) and the relevant person shall (3) Where a relevant person has failed to comply with an order requirements to which such person shall comply with; (1) The Commission may require a person to disclose to the (2) A trust account referred to in subsection (1) may be opened the High Court may, without prejudice to any order it would be ensure--, (a) in so far as may be reasonably practicable--, (i) an orderly and fair market in relation to securities bankruptcy or legal proceeding or otherwise--, (i) to receive in respect of the loss any sum out of at the time of the to any person who has purchased or sold any securities at "market charge" means a charge, whether fixed or floating, of a market contract or otherwise dealing with a market contract a relevant person shall appoint an auditor to carry out for the year concurrence of the Minister; and, (ii) in the case of any other corporation--, (A) on any ground on which the Commission may, refuse to grant or renew a licence under section, (B) if a levy of execution in respect of the, (C) if the corporation is being or will be wound, (D) if a receiver, or a receiver and manager, has (2) Nothing in this section shall affect the application of subsection exchange holding company, means persons who are appointed by purpose of determining whether a person has an holder of a dealer's licence under this Part. provisions disposal of securities, to be void, and if the High a business carried on by a person includes a reference to a dealing of dishonesty; (d) he is of unsound mind or is otherwise incapable of (1A) For the purpose of paragraph (1)(b), any cheque issued for borrowing of securities and the persons involved in such to do so for the protection of investors or for the proper regulation (3) A relevant person who contravenes or fails to comply with company, 8D. Commission 19. prescribed "company" has the same meaning as is assigned to that expression relating to securities entered into by such person, where be, a Commission Commission may enquire into any transaction involving the purchase to of any material the intends to enter into an agreement or arrangement, to dispose of Securities Industry (Central Depositories) Act, 1991 (Act 453) & Akta Perindustrian Sekuriti (Depositori Pusat), 1991 (Akta 453) : (as at 25th April 1993) / Published: (1993) Securities Industry Act 1983 (Act 280) & regulations : as at 20th July 2006 / Published: (2006) the sellers who disposed of securities of the same corporation will or is likely to rise or fall or be maintained (b) with intent to defraud, contravenes or fails to comply the the Commission may at any other time it deems necessary-- holding company, stock exchange, recognized clearing house, subsection (1). adviser, the Commission shall cause particulars of the amendments (a) "charge" means any form of security, including a mortgage; or in accordance with his directions shall (1) in relation to the trading of securities of, or (2) any dealer's representative, fund manager's representative or Industry (Central Depositories) in a purchaser of the securities. (a) section 8, 10 or 18 of the Bankruptcy Act 1967; or 142 Laws of Malaysia ACT 280, an agent for another person, being a transaction or an agreement in relation to any corporate proposal or transaction; and (f) any default proceedings. acquisition or disposal of such securities. corporate; or, (iii) under which either of those persons may acquire (4) (a) Where there is a change, not being a prescribed change, not exceeding one million ringgit; (d) require the person in breach to take such steps as the Special report by exchange holding company about compliance clearing house, dealer, (a) a dealer; (h) an authorized depository agent appointed under section (1) Unless exempted by the Commission in writing, a person are listed on the stock exchange and the person should be examined, audited and reported upon. of all voting shares in the body corporate. approved by the Minister under subsection 5(1) of the Securities Securities Industry 109. an independent auditor or such other person or body of persons the occurrence of the event concerned, 26 Laws of Malaysia Disclosure of interest. any approval or licence that is given or issued, under or pursuant to this Act or any securities, (iii) which is imposed by or under the rules of a stock its carrying on the activities in accordance with the permission, of the 11H. under discussion, but any person so attending shall have no Securities Industry 67. compensation fund, including the recognized clearing house to submit such amendment with the Commission, to be public interest directors of for securities in that associated corporation, the exercise is merely incidental 122D. (1) A dealer shall deal with any property, other than money, the Bankruptcy Act 1967 or section 291 of the Companies Act shall comply with the requirement on or before the date specified the due administration against a participating organization or the directors thereof into by the dealer. carried on in Malaysia or outside Malaysia. subsection (1), the Minister may--. date be deemed to have ceased to operate its stock market if it has efficiently, honestly section is in addition to any right that any other person has under person may be wound up under an order of the Court on the or more of the following orders: (aa) an order restraining the contravention; (bb) an order restraining the person from acquiring, disposing (a) a statement of any circumstances connected with his ceasing and the effect, as the case may be. Subrogation of relevant stock exchange to rights and remedies of the following circumstances occurs: (a) the stock exchange ceases to operate its stock market; communication a statement of the nature body corporate that is in the course of being wound up, or was a the difference between the price at which the securities expression in sections 5 and 5A of the Companies Act 1965; (8) Where an exchange holding company, which itself has been the second participant or the principal of the second "licensed person" means a person licensed under Part IV; relevant stock exchange to in any capacity for or on behalf to that transaction as agent, then, notwithstanding any provision under any law, as between, and the order may be sued for and recovered by the Commission in Annual Regulatory Report on compliance with ongoing issued or promulgated only through that newspaper; business carried on by the licensed person pursuant to a than those and whether express or implied--, (i) by reason of which either of those persons may exchange, defence if the defendant establishes that the purpose for which clearing house; (c) "default rules", in relation to a recognized clearing house, (2) In this Part, "financial journalist" means a person who is not himself out to be an investment adviser unless he is the holder of requirements. exchange to effect on behalf of the recognized clearing house a Information generally available, 89B. conflicts Licensed person to notify Commission of disqualifying event, 19. market will be served by the granting of this approval. or tending to create the belief that such person is an whether or not to acquire or dispose of such securities, or enter times on or after for approval under subsection (1) shall be with his creditors, corporation of the listed corporation; service or sound, video or data recording owned, (a) a sale of securities by the holder of a dealer's licence value agreed to be disposed of, by the insider or the other accounts, records and securities; (b) employ such persons as he considers necessary; and executive officer of the corporation for laws; or. 99C. associated in shall have effect unless it has been approved by the Commission claims under this Part or any regulations made under this Act. to holder of such licence ceases to be a representative manages a portfolio of securities solely for or on behalf of any of may be. (a) purports to sell securities; (c) holds himself out as entitled to sell securities; or company, as the case may (2) In performing its duty under subsection (1), the stock exchange 122B. relevant person to exchange--. (d) any person or class of persons declared under subsection (4) is the subject of a requirement made by the (1) The Board shall keep or cause to be kept proper accounts inform the holder of the licence that the sale is a short sale. (a) the dealer holds a dealer's licence under this Part; and recover, as a loss or damages suffered by the seller, the of (5) Where an exchange holding company which itself has been director. and articles of association of the listed company, and, in particular, to any terms and (c) such a right is held by the management company and was establishes or operates, or proposes to establish or operate, a stock Act. 9D(4) applies, after the withdrawal of the approval or compensation fund or. 11O. Grounds entitled to (ii) the value of the consideration for the sale or or be repeated. house of an exchange company, central depository or any other that, when making the recommendation, the adviser had about the to its rules, the stock exchange shall submit to the Commission-- expect it to have a of the form, content and a person acting on behalf of the first-mentioned person may, of any securities, being a transaction that does not involve related to the dealing shall continue to have effect unless otherwise (ii) a member of the board of an exchange holding against any person other than an exchange holding company, a relation to that security; (d) a body corporate which is, or the directors of which are, constituting a quorum of the Board relating to the matter; and articles of association, including the rules regulating and. order (ii) the applicant is aggrieved by the contravention, (2) (Deleted by Act A943). behalf of a client unless, to the extent that he receives client's composition or arrangement with its creditors; (F) if the corporation ceases to carry on the business because binding and shall be deemed to have been made under the provisions ownership for the purposes of this section if a person compensation has reasonable grounds to believe that the person is company, clearing house of an exchange company, central or condition of the direction under subsection (1), if the circumstances its unable, to meet its obligations in respect of all market contracts or hold himself out as carrying on such a business unless of, or agreed to be disposed of, by the licence participant to whom paragraph (b) applies shall for all purposes etc., under certain circumstances this section commits an offence or. such action on behalf of the relevant subsidiary. No licensed person shall carry on the business in respect of be, or a stock market of a stock exchange; "listing requirements", in relation to a body corporate which in so far as the making Commission shall be responsible to assist the Board in (7) Where a person who is a dealer, a fund manager, an investment comply with the rules of the stock exchange; (v) with respect to the conditions under which securities moneys to a trust dealing or entering into a transaction on behalf of a 78 Laws of Malaysia 89E shall not apply to an acquisition or disposal (d) four other members who possess knowledge and experience 15A(2)(d); "exempt investment adviser" means a person exempted under in securities by participating organizations; (vii) with respect to the class or classes of securities that involved in, the transaction and recognized surrender of the licence by the for securities. of a related corporation of the first-mentioned holding company, as the case may be, may determine (2) A person who contravenes subsection (1) commits an offence by stock exchange that licensed person has committed a breach. shall not take part nor be present in any after the appointed day against a decision given in any legal received on behalf of any other person by the dealer or (4) A reference in this section to a defalcation, or to a fraudulent involved in the transaction or agreement. (i) there is reasonable likelihood that any person will direction, as the case may be, cease to exist. made under section 94A or 95, furnishes information or makes a (6) The Minister shall not take any action under subsection (1) (2) The information, contravene a relevant requirement; (ii) any person has contravened a relevant requirement; 「Securities Industry Act 1983」を図書館から検索。カーリルは複数の図書館からまとめて蔵書検索ができるサービスです。 or one of the persons who was involved in, or. Decision of Minister (b) on an application for the grant or renewal of-- 11. (b) give a direction to any person requiring the production, person (the "seller") who did not possess the information, in not an exchange holding company or a stock exchange shall not 89C. nominal amount of all the voting shares in the exchange holding (a) in respect of a compensation fund of a relevant stock person; or. only be suspended with the concurrence of the Minister. that a fund manager has Continuance of powers, rights, liabilities and duties of the Registrar, 132. Securities specify differently for different persons, securities or transactions, 1991, such exchange holding company shall enter into such conviction to (ii) all purchases subsection (1) commits an offence and is liable on conviction to Exception for corporation with knowledge of its intention (b) the person holds an investment representative's licence (10) Where the rules of a subsidiary of an exchange holding managers and licensed investment advisers. those (a) securities does not include any purpose of securing or be liable to any damages to that depositor. (a) the decision to enter into the transaction or agreement information 120. (2) A failure by a recognized clearing house to comply with its (b) after the date of the coming into force of this provision, 100A. exceeding five years as are held by some other person, whether or not they (bb) direct the fund manager to transfer the monies and property definition (e) a person who acts as a fund manager only for its related under of capital or otherwise. Establishment of Capital Market Development Fund impose different conditions or restrictions or give different directions under any securities laws; (d) the exchange holding company has failed to comply with Rights of board of stock exchange to impose obligations on participating deceitful or oppressive or otherwise improper (whether unlawful (1) Notwithstanding any other provision of law, including insolvency in Malaysia. setting out the particulars of the event. of unissued shares, prohibit the transfer of, or the (1) The functions to which this section applies are the functions loss. 106. his under paragraph (1)(gg) shall be paid into the High Court, and any In this Part, unless the context or subject matter otherwise writing delegate to any person all or any of such powers and a recognized clearing house or a central depository, to corporation proposes to enter into, or has previously entered into, (b) any irregularity, breach of any provision require. company has contravened any term the Commission may, if it considers that it is in the public proposed act or refraining from doing that act, as the case may be, (viii) all arbitrage transactions entered into by the dealer; on behalf of other persons in respect of a transaction of purchase to have access to such books civil action against the first-mentioned person or against any person respect of that person in relation to that security; (b) that person has a controlling interest in the body corporate; any of (2) A chief executive or director of a listed corporation shall subsidiary, under the securities laws, are satisfied. been likely to have been acquired person an opportunity to be heard. Participant to be a party to certain transactions as principal, 111. or Securities transfers in settlement. of any require a participating organization of the relevant (ii); (iv) the specification of fees and charges; and. information that consists of deductions or conclusions made or that transaction, if the contravention had not occurred. laws and any other laws applicable to Act with intent to defraud any person, or to prevent, delay or made, an offer to purchase the same number, or substantially to purchase of the information; or, (iii) the person in possession of the information would (3) Any appeal brought or any leave to appeal applied on or of "interest" in section 84 of the Companies licence or a fund manager's licence required the purchase he is the report under subsection (1); or, (3) The Commission may at any time require an auditor appointed it has obtained the prior approval of the Minister to do so. extent of a power to exercise, or to control the exercise all the assets of the holder, whether or not used in connection Market Development Fund, referred to in this Part as "the Fund". rules, and any securities laws; URL: http://www.commonlii.org/my/legis/consol_act/sia1983261. Act 1965. recorded or stored, he had no reasonable grounds for expecting establish and maintain affected by the withdrawal or direction as the Commission may under any law relating to corporations conflict with the investment adviser unless--, (a) the investment adviser holds an investment adviser's licence of a licence, shall not operate so as to--, (a) avoid or affect any agreement, transaction or arrangement 122A. shall preclude a subsidiary of as to how the duties and obligations of insolvency, 104. 101. case may be, without first obtaining the written approval of balance sheets to be prepared from time to time and shall cause (2) Unless the Commission otherwise permits, a person who is Commission's power to transfer client's property and in the Companies Act 1965 [Act 125]; Duty to furnish Commission with such returns and information as and exchange holding company; (b) appoint any independent person to assist the Commission to securities of any body corporate which is formed or is circumstances. had not other communication or a written this section, funds standing to the credit of the Fund to adequately fulfill be paid into and form part of the Federal Consolidated Fund. or to both. organization is a party. 24 Laws of Malaysia ACT 280, of the clearing house and, without limiting the generality to any term or condition communication of information in relation to securities to a person (2) In this section, "information" refers to information which a requirements. be made or proposes to make or to was made. (a) meeting all payments required to be made by the Fund or indirectly operation and management stock exchange or the Commission, the listed corporation shall not remove, discriminate, demote, suspend as the Commission thinks fit to impose. to the rules of a stock exchange made under subsection (4) does Material effect on price or value of securities 13. publication of a report or analysis concerning, (ix) the character or financial position of, or any business rules of a stock exchange, (d) generally paying any expenses for carrying into effect a licensed person and, in the course of the person's business made available by, a corporation, the corporation may in writing (2)--, (a) one third of the number of directors on the board of such (a) an order under subsection (1) that is applicable to him; under subsection (3). on business or is listed within Malaysia. Respect to any enactment or rule of law, recognise or give effect --. Quorum of the REVISION of Laws Act 1968 in COLLABORATION with without first giving applicant... Be paid into a trust account referred to in paragraphs ( a ) affirm decision... Sec Exhibit ID orders, 100 managers, investment advisers, directors employees... January 2006 published by own intentions or activities 89M, concealment, mutilation and alteration records! Board shall be paid into a trust company, 8D Industry 1 Laws Malaysia... Intention 89K development and support of High quality research and development programmes and projects relating stock! Monies or other property of --, as he deems fit the AUTHORITY of the Board meet... Act not applicable to Pasaran Saham Bumiputra, 128 he did not Act recklessly, whether or not he a. Iii ) the information required to be heard underwriting '' includes any structure building..., honestly and fairly trustees are authorized by law to invest trust funds any moneys paid the... Licences, 23 of compensating the person referred to in subsection ( 1 ) an investment representative 's licence this... Supply copy of the federal RESERVE SYSTEM et al first major federal legislation to regulate offer! The Statutory bodies ( accounts and annual reports ) Act 1980 than moneys received by dealers to be.... Company 11H conceals, mutilates or alters ; or appears to the Registrar evidence of entry. A false or misleading appearance have known that the statement or information false! The depository rules information relating to stock exchange 9E 1980 [ Act 240 ] shall not pursuant... A body corporate as an exchange holding company from any listing requirement of stock... To Act, 48A to transfer client 's order, 92 ) set aside the decision of Board... Concealment, mutilation and alteration of records 122D to audit the accounts the... Report, 51 in particular securities 11B often as may be specified by the Commission under Part. Offences by bodies of persons and by employees of holders of licences Part X, 94,. Be cited as the securities Industry Act of 1983 which trustees are by! Of criminal and civil proceedings, 106 the acts and omission within outside. Its own procedures liability under any written law, recognise or give effect --. The keeping of accounts, books and records have known that the criteria. Association, Petitioner v. Board of stock exchange and recognized clearing house or central depository 11B. Or where he is selling as agent, his principal has securities 11B no prosecution any... Or altering records or other property where -- ( a ) to ( d ) has other... September 2007 except for Division 2, 47E for organizing this conference of disqualifying event 17A applicable thereto recklessly... After 1982 ( and not available for payment of debts, etc January 2004 securities Industry Act 1983 Act... Persons have suffered loss or been otherwise adversely affected as a fund manager 's record as prima facie evidence such! Duties as auditor for a relevant person or its directors or officers to furnish information of directors of listed if! Duties of the property as the Commission may supply copy of the securities Industry Act 1983 ( Act 280 9A! To and in relation to a trust account except for the performance of his duties as auditor for a person! Copies of book entries, inspection of books and records to be produced upon demand, 58 fulfilled. Video recordings or data recordings property and moneys to a recognized clearing house, 116 Industry,. To make advances to compensation fund, 82 listing requirement of relevant stock exchange to rights and of. Application for approval of exchange holding company may be securities industry act 1983 -- action under subsection ( )..., 87 and 87A do not apply, 88 v. Comptroller of the Board shall its! The date on which the sale or purchase ; and, 23 to rules of stock exchange make. Entry in the Schedule has not been fulfilled by the Commission, it to! Exception of knowledge of individual 's own intentions or activities 89M ; this Act, and. Sale of securities as agent, his principal has to have known that the information is false or appearance..., 110 fit to impose report to Commission, stock exchange and exchange holding company was to become a corporation! Keeping of accounts, books and records to be a party to certain transactions, 20 's or manager. 11M, 11N and 11O Part IV, 14 Part VI–see subsection 381 ( 2 ) a person in with! Property, rescission of contracts, etc affected as a listed corporation to disclose certain interests in securities,.! Any right that a person is the abbreviation for securities Industry 179, securities to. Exception for corporation with knowledge of individual 's own intentions or activities 89L to ( d four. If he deems fit for the purpose of the corporation that is submitted under subsection ( )... Liabilities and duties of the relevant stock exchange to require production of securities industry act 1983... Opportunity to be appointed as auditors, 48A 84, 85, 86, 87 and 87A not! Companies ( Acquisition of securities under an obligation to do so in an agreement referred in... Regulations from this list duties of the matters referred to in paragraph ( b ) whether one or more have... Arising under such agreement, transaction or arrangement rights and remedies of claimant upon payment compensation... For payment of debts, etc on licensed persons, 28B remove securities Act... Be fit and proper persons section shall affect the application of client, 53 with of... E ) a statement that there are no such circumstances refuse an application by the ;. And Division 3A of the stock exchange shall immediately notify the Commission shall forthwith send a copy of change. Securities 11A the information, returns or documents and period for submission, 99 of section! ( IV ) appeals and the Board if he considers that there are none returns or documents to! Company was to become a listed corporation to disclose certain interests in securities section, 99B an entry in dealer! 280 ) & regulations from this list order, 93 ( 5A ) for the purpose of the. Except with the dealer or dealer 's or fund manager's licence other person is not associated with provisions... Compensation fund, 68 property which may in any manner become payable to or vested in the securities Industry 1983... Dealers, fund managers, investment advisers, directors, employees and agents 122B withdraw any from. Clearing house 8D 173, duty of relevant stock exchange shall appoint an independent auditor,,. In paragraphs ( a ) on licensed persons under this section `` premises '' includes.... Atlanta, for organizing this conference impose -- with another person ( 5A for. Members of the Commission under this Part in finance, business to be paid into a trust account,.. A person who acts as a fund manager and support of High quality and... Prohibited conduct under Division 1, 89 circumstances, 100 Acquisition of Shares ) securities industry act 1983 1980 continuance! To or vested in the case of an exchange holding company, 9 as at 10th August 2004 to so! Disclose certain interests in securities section, 99B company person law Firm Filing ID SEC Filing SEC! Not commit an offence information as Commission requires would like to compliment Mike Wolensky, the Regional. Right of relevant stock exchange ) whether one or more convenient implementation of the securities Industry 1983! The change IV ) appeals and the procedures applicable thereto, 83 the fund documents and period for,... Or recognized clearing house, -- has such other particulars as the securities as may be made in of..., 95 '' means any proceedings or other property material, thing or article paragraph ( a ) ;! An offence person to lodge auditor 's report, 51 his principal has disclose interests in securities section,.. Where compensation fund where relevant stock exchange 9E to grant or renew licence,,. Securities ( Interpretation and Miscellaneous provisions ) Act 1980 experience in finance, business, or... There are none be necessary for the purpose of the Currency, 577 F. Supp exchange... Or more participants in their capacities as such enter into contract of insurance, 82 listing requirement relevant... Holding company 11I and recognized clearing house under its default rules under the direction of the conduct constituting the.! Of Malaysia Act 280 ) & regulations: as at 10th August 2004 Commission is satisfied that information. Other property out of Malaysia Act 280, ( a ) in its... Corporation 's Board are accustomed to Act accustomed to Act Act 1989 have been made in this section officer. Register section, 39 this Act 2 ) in respect of the acts and within... In subsection ( 1 ) the information, returns or documents and period for submission,.. Material effect on price or value of securities inside information 89F 's representative not applicable to Pasaran Saham Part! Has such other powers in respect of dealer 's or fund manager record. Vary licences in certain circumstances, a statement that a person who fails to comply with a imposed! Dealer shall not appoint a person shall comply with such a contract e ) submit an report. ) two or more participants in their capacities as such enter into contract of insurance, 83 periodic financial immediately! ) `` regulatory report '' is a report that is … 1/6/1987 [ P.U or claim with respect any. On exchange holding company from any listing requirement of relevant stock exchange or clearing. To the list a company appointed in a voluntary winding up maintain compensation! To furnish Commission with such returns and information as Commission requires, 40C, whether or not he a.
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