In the discharge of our statutory duty, we take enforcement proceedings and actions and initiate legal actions to give effect to the enforcement decisions and actions.
Through these enforcement actions and disclosure of the same, we seek to:-
The Business Rules and Listing Requirements empower us to take action for contraventions of the rules by applicant companies, listed issuers, management companies, trustees, directors and advisers of listed issuers, Participating Organisations, Trading Participants, Clearing Participants, Participants of Exchange Trading Platform, Registered Persons/Registered Representatives, Authorised Depository Agents, Authorised Direct Members and other regulated persons under the rules.
Enforcement actions or penalties by Bursa Malaysia are merely one of the regulatory tools available to Bursa Malaysia to address breaches/potential breaches of its rules. Each year, Bursa Malaysia makes enquiries and investigates potential rule breaches and depending on the conduct involved, the impact of the breach and other facts and circumstances, enforcement actions or management actions (such as warning/caution/reminder) may be taken. In addition, in undertaking investigation of possible breaches of our rules, we may detect possible breaches of the relevant laws such as the Capital Markets & Services Act 2007 and Companies Act 2016. In such instances, referrals will be made to the relevant authority(ies) such as the Securities Commission and Companies Commission of Malaysia.
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