Capital Markets Discipline and Misconduct

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Capital Markets Discipline and Misconduct by Dato’ Loh Siew Cheang, Tan Ming-li, Evelyn Chan

Author Dato’ Loh Siew Cheang, Tan Ming-li, Evelyn Chan
Publication Date 02 May, 2019


Hardcover + E-book


Publisher: Lexis Nexis 

This work provides a comprehensive understanding into the legislative and regulatory framework of the CMSA 2007 over the important subject matter of discipline and misconduct in the capital markets. Its coverage includes judicial and administrative enforcement of the capital market rules by the regulatory authorities and the remedies that are afforded to private persons who are aggrieved by misconduct, the raising of debt and equity capital, disclosure rules and the duties and responsibilities of market intermediaries and artificial interferences or distortions with the natural forces of supply and demand on the stock exchange.
This work also covers the most recent amendments to the Securities Commission Malaysia Prospectus Guidelines, which came into effect on 13 March 2019.


Chapter 1 The Framework of Securities Regulation: An Overview
Chapter 2 The Enforcement and Compliance Regime: CMSA and SCA
Chapter 3 The Enforcement and Compliance Regime: Main Board Listing Requirements
Chapter 4 The Chief Executive and Directors of Listed Corporations
Chapter 5 The Equity Capital Market
Chapter 6 Market Securities: Bonds and Sukuk
Chapter 7 The Prospectus
Chapter 8 Regulation of take-over, merger and compulsory acquisition
Chapter 9 Public Disclosure Rules: the MMLR
Chapter 10 Circulars: Requirements under the general law and the MMLR
Chapter 11 Liability for False or Misleading Statements: Part VI of the CMSA
Chapter 12 Market Misconduct
Chapter 13 Insider Trading


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