Front matterCAPITAL MARKETS AND
PreambleAn Act to consolidate the Securities Industry Act 1983 [Act 280] and Futures Industry Act 1993 [Act 499], to regulate and to provide for ma...
Part I
TextPRELIMINARY
ScheduleSchedule 2; “affiliate”, in relation to a derivatives exchange or a clearing house of a derivatives exchange, means any person, however des...
ScheduleSchedule 3; Capital Markets and Services 49 “specify”, where no mode is mentioned, means specify in writing, and a power to specify include...
ScheduleSchedule 1 that are― (a) established and operated by Bank Negara; or (b) operated by or on behalf of Bank Negara, shall be deemed to be exe...
ScheduleSchedule 4 may only carry on the regulated activities specified in the second column of Part 1 of Schedule 4; (b) registered persons specif...
ScheduleSchedule 4 may only carry on the regulated activities specified in the second column of Part 2 of Schedule 4; (c) to the extent that such r...
ScheduleSchedule 4― (i) the provisions under sections 91, 92, 92A, 93, 97 and 139ZN and any regulation or guideline made pursuant Capital Markets a...
ScheduleSchedule 4 with the provisions of sections 91, 92, 92A, 93, 97 and 139ZN and any regulation or guideline made pursuant to aforementioned se...
ScheduleSchedule 6; or (b) any offer or invitation made to a person or a class of persons or any offer or invitation in relation to securities or a...
ScheduleSchedule 9. (3) The provisions of this Division shall not apply to an issue, offer or invitation that is made to a person or a class of per...
ScheduleSCHEDULE 1 [Subsection 7(4)] Exempt stock market or exempt derivatives market 1. Such system which facilitates the transferring, clearing a...
ScheduleSCHEDULE 2 [Subsections 2(1) and 58(1)] Regulated activities Part 1 — Types of regulated activities 1. Dealing in securities. 2. Dealing in...
ScheduleSCHEDULE 3 [Subsection 58(2)] Specified persons 1. Any company registered under the Trust Companies Act 1949 whose carrying on of any regul...
ScheduleSCHEDULE 4 [Paragraph 76(1)(a)] Registered persons Part 1 First column Second column Third column Items Activities Categories of Registered...
ScheduleSCHEDULE 5 [Subsection 212(8)] Proposals not requiring approval, authorization or recognition Categories of transactions not subject to the...
ScheduleSCHEDULE 6 [Section 229] Excluded offers or excluded invitations For the purposes of paragraph 229(1)(a), an excluded offer or excluded inv...
ScheduleSCHEDULE 7 [Section 230] Excluded issues For the purposes of paragraph 230(1)(a), an excluded issue shall be— (a) an issue to a sophisticat...
ScheduleSCHEDULE 8 [Subsection 257(1)] Debentures issues Issues of, offers for subscription or purchase of, or invitations to subscribe for or purc...
ScheduleSCHEDULE 9 [Subsection 257(2)] Debentures issues Issues of, offers for subscription or purchase of, or invitations to subscribe for or purc...
ScheduleSCHEDULE 10 (Deleted by Act A1406). *NOTE—The Banking and Financial Institutions Act 1989 [Act 372] and the Insurance Act 1996 [Act 553] wa...
ScheduleSCHEDULE 11 [Section 388] List of subsidiary legislation revoked 1. Securities Industry Regulations 1987 [P.U. (A) 314/1987]. 2. Securities...
ScheduleSchedule 6) and para 4 (Part III of
ScheduleSchedule 7) —01-01-2022 P. U. (A) 41/2024 Capital Markets and Services (Amendment of Schedules 5, 6 and 7) Order 2024 05-02-2024 594 Act 67...
ScheduleSchedule 1
ScheduleSchedule 2 P.U. (A) 475/2012 28-12-2012 P.U. (A) 133/2017 18-05-2017
ScheduleSchedule 3 P.U. (A) 128/2009 26-03-2009 P.U. (A) 212/2015 15-09-2015 P.U. (A) 133/2017 18-05-2017
ScheduleSchedule 4 P.U. (A) 65/2009 20-02-2009 P.U. (A) 128/2009 26-03-2009
ScheduleSchedule 5 P.U. (A) 287/2009 03-08-2009 P. U. (A) 22/2018 01-04-2018 P.U. (A) 289/2021 01-07-2021 Capital Markets and Services 607 Section...
ScheduleSchedule 6 P. U. (A) 89/2018 05-04-2018 P. U. (A) 289/2021 01-07-2021 Paragraph 3 Part III — 01-01-2022
ScheduleSchedule 7 P. U. (A) 89/2018 05-04-2018 P. U. (A) 289/2021 01-07-2021 Paragraph 4 Part III — 01-01-2022
ScheduleSchedule 8 P.U. (A) 263/2008 01-08-2008 P.U. (A) 473/2012 28-12-2012
ScheduleSchedule 10 Act A1406 03-10-2011 General Amendment Act A1499 15-09-2015