SCLE Revision: Stock Market and Securities Law (Module 6)

• Securities
• The Malaysian Stock Market
• Participants and Intermediaries in the Malaysian Stock Market
• Development and Impact of Technology on Securities Trading

Regulation of the Securities Industry

• Overview of the Law
• Regulatory Bodies in Malaysia

Business Structures

• Range of Business Structures
• Companies
• A Company’s Constitution
• General Management and Administration
• Administration and Management of a Participating Organisation

• Primary Issues of Ordinary Shares
• Post Listing Requirements
• Securities Issues in the Secondary Market
• Debt Securities and Derivative Product
• Structured Products
• Bursa Malaysia Securities Berhad Main Market Listing Requirements
• Bursa Malaysia Securities Berhad ACE Market Listing Requirements
• Bursa Malaysia Securities Berhad LEAP Market Listing Requirements

• Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework
  • Section A: General Requirements
  • Section B: Part 2: Structured Products
  • Lodgement Kit: Unlisted Capital Market Products under the Lodge and Launch Framework

Trading on the Secondary Market

• The Trading System
• Rules of Bursa Malaysia Securities Berhad on Trading
• Bursa Malaysia Securities Berhad Participating Organisations’ Trading Manual
• Guidelines on Prevention of Money Laundering and Terrorism Financing for Reporting Institutions in the Capital Market
  • Part I: Introduction and Applicability
  • Part 1A: AML/CFT Compliance Programmes and Obligations of Board of Directors, Senior Management and Compliance Officer
  • Part II: Risk-Based Approach Application
  • Part III: Customer Due Diligence (CDD)
  • Part IIIA: Wire Transfer
  • Part IV: Retention of Records
  • Part V: Suspicious Transactions
  • Part VI: Enforcement Orders
  • Part VII: Combating Terrorism Financing

• Guidelines on Market Conduct and Business Practices for Stockbroking Companies and Licensed Representatives: Part I, II & III

Clearing, Delivery, Settlement and Corporate Actions

• Clearing
• Delivery and Settlement
• Corporate Actions
• Other Matters

• What is the Law of Contract?
• Essential Elements of a Contract
• Contracts entered into on Bursa Malaysia Securities Berhad

• Stockbroking Company and Client
• Rules Governing the Stockbroking Company and Client Relationship
• Buying Securities on the Market
• Direct Business Transaction (DBT)
• Participating Organisation’s Duties to Clients’
• Participating Organisation’s Rights
• Client’s Rights
• Keeping of Records

Negligent Misstatement

• Essential Elements of the Tort of Negligent Misstatement
• Statutory Liability

• Licensing Framework

Securities Offences

• Trading in Securities: Prohibited Conduct Under the CMSA
• Other Offences Relating to Dealing
• Other Offences Relating to False and Misleading Statements
• Other Offences

• Introduction of Take-Overs
• General Principles and Rules on Take-Overs and Mergers
• Types of Take-Over Offers
• Processes and Procedures of Take-Over Offers
• Roles and Responsibilities of a Capital Markets Services Representative’s Licence (CMSRL) Holder
• Penalties for contravention of the Code