Brokers
Engagement with BrokersBursa 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 be able to address
the concern instantly and to avoid the condition / situation from further deteriorating.
Compliance Conferences and Dialogues
Bursa Malaysia has organised compliance 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 to 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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