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Click here to unpin menu.Education & Awareness
We continue to place greater emphasis on market education in the form of training, dialogues, conferences and direct engagements with our Listed Issuers and Brokers.
Brokers
Engagement with Brokers
Bursa Malaysia carries out various engagements to maintain high standards of business conduct, enhance self-regulation and prevent regulatory transgressions.
We conduct regular engagements with senior management and Board of Directors of brokers through dialogues and conferences for compliance officers. One-to-one engagements with senior management of brokers are also conducted to discuss our specific trading observations and concerns. These engagements have proven useful as any regulatory concern which requires the immediate attention of brokers will be highlighted during the session and brokers are then able to address the concern instantly to prevent the condition / situation from deteriorating further.
Annual Conferences and Dialogues
Bursa Malaysia has organised annual conferences for compliance officers of both the securities and futures industries and conducted dialogues with the management of brokers in various cities located nationwide to achieve the following objectives:
- To enable brokers to learn new regulatory and compliance matters and tap the wide knowledge of the speakers
- To enable brokers to learn about the various breaches and issues in the industry from Bursa Malaysia so that they can better address these issues
- To provide an opportunity to have a dialogue with representatives of Bursa Malaysia to enable the brokers to better understand the regulators’ perspective and expectations
- To provide an opportunity for the regulator to understand and act upon the various concerns faced by brokers
- To enhance channels of communication between Bursa Malaysia and brokers so that they have a point of reference when faced with regulatory and compliance issues
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