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Enforcement By Securities Commission Malaysia - Coggle Diagram
Enforcement By Securities Commission Malaysia
Objectives
to protect investors and promote market integrity
to prevent misconduct and breaches of securities laws
to enhance public confidence in the capital market
to facilitate effective cooperation with other regulators and law enforcement agencies
Functions
investigate breaches of securities laws
prosecute offenders in court
cooperate with other regulators and agencies
apply administrative consequences
Actions
Criminal Action
Penalties:Fines
Example:insider trading
Civil Action
Example:Injuction
Penalties: Compensation
Regulatory action
Examples: Revocation of licenses
Penalties: Restrictions
Power
Freeze assets and accounts
Conduct search and seizure
Issue public reprimands
require the production of records and data