CAPITAL MARKETS AND SERVICES ACT 2007

CAPITAL MARKETS AND SERVICES ACT 2007

1 PART I PRELIMINARY-1. Short title, commencement and application.

2 PART I PRELIMINARY-2. Interpretation.

3 PART I PRELIMINARY-3. Associated person.

4 PART I PRELIMINARY-4. Interest in securities.

5 PART I PRELIMINARY-5. Prescription of securities and derivatives.

6 PART I PRELIMINARY-6. Consequences of agreements becoming derivatives.

7 PART II SECURITIES AND DERIVATIVES MARKETS Division 1 - Markets-7. Establishment of stock markets or derivatives markets.

8 Division 2 - Market Institutions Subdivision 1 - Exchanges and exchange holding company-8. Power of Minister to approve stock exchange or derivatives exchange.

9 Division 2 - Market Institutions Subdivision 1 - Exchanges and exchange holding company-9. Commission to approve amendment to rules of stock exchange, derivatives exchange or approved clearing house.

10 Division 2 - Market Institutions Subdivision 1 - Exchanges and exchange holding company-10. Appointment of directors of exchange holding company, stock exchange and derivatives exchange.

11 Division 2 - Market Institutions Subdivision 1 - Exchanges and exchange holding company-11. Duties of exchange.

12 Division 2 - Market Institutions Subdivision 1 - Exchanges and exchange holding company-12. Withdrawal of approval of exchange.

13 Division 2 - Market Institutions Subdivision 1 - Exchanges and exchange holding company-13. Effect of withdrawal of approval of an exchange.

14 Subdivision 2 - Exchanges holding company-14. Exchange holding company.

15 Subdivision 2 - Exchanges holding company-15. Power of Minister to approve exchange holding company.

16 Subdivision 2 - Exchanges holding company-16. Annual Regulatory Report on compliance with ongoing requirements.

17 Subdivision 2 - Exchanges holding company-17. Special report by exchange holding company about compliance with ongoing requirements.

18 Subdivision 2 - Exchanges holding company-18. Withdrawal of approval of exchange holding company.

19 Subdivision 2 - Exchanges holding company-19. Effect of withdrawal of approval of exchange holding company.

20 Subdivision 2 - Exchanges holding company-20. Listing of exchange holding company on stock exchange.

21 Subdivision 2 - Exchanges holding company-21. Duties of exchange holding company.

22 Subdivision 2 - Exchanges holding company-22. Risk Management Committee of exchange holding company.

23 Subdivision 2 - Exchanges holding company-23. Restriction on exchange holding company from reducing its shareholding.

24 Subdivision 2 - Exchanges holding company-24. Disposal and acquisition of assets, etc .

25 Subdivision 2 - Exchanges holding company-25. Control in shareholding of exchange holding company.

26 Subdivision 2 - Exchanges holding company-26. Power to issue directions.

27 Subdivision 2 - Exchanges holding company-27. Closure of stock exchange or derivatives exchange.

28 Subdivision 2 - Exchanges holding company-28. Power of Commission in respect of stock exchange or derivatives exchange.

29 Subdivision 2 - Exchanges holding company-29. Provision of assistance to Commission.

30 Subdivision 2 - Exchanges holding company-30. Suspension order relating to stock exchange, derivatives exchange, approved clearing house or central depository.

31 Subdivision 2 - Exchanges holding company-31. Power of Commission upon contravention of section 23, 24 or 25.

32 Subdivision 3 - General [Deleted by Act A1499 of the year 2015]-32. [Deleted by Act A1499 of the year 2015] .

33 Subdivision 3 - General [Deleted by Act A1499 of the year 2015]-33. [Deleted by Act A1499 of the year 2015] .

34 Subdivision 4 - Recognized market-34. Recognized market operator.

35 Subdivision 4 - Recognized market-35. Application for registration.

36 Subdivision 4 - Recognized market-36. Duties of recognized market operator.

36A Subdivision 4 - Recognized market-36A. Withdrawal of registration.

36B Subdivision 4 - Recognized market-36B. Change in status.

37 Subdivision 5 - Approval of clearing house-37. Establishing or operating a clearing facility.

38 Subdivision 5 - Approval of clearing house-38. Power of Commission to approve clearing house.

39 Subdivision 5 - Approval of clearing house-39. Withdrawal of approval.

40 Subdivision 5 - Approval of clearing house-40. Effect of withdrawal of approval.

40A Subdivision 5A - General-40A. Interpretation.

40B Subdivision 5A - General-40B. Publication of notice of suspension of trading or closure.

40C Subdivision 5A - General-40C. Rights of stock exchange, derivatives exchange or approved clearing house not to be affected by laws relating to contracts.

40D Subdivision 5A - General-40D. Power of Commission to appoint statutory manager.

40E Subdivision 5A - General-40E. Assistance and access to information, etc .

40F Subdivision 5A - General-40F. Remuneration, expenses and indemnity of statutory manager.

40G Subdivision 5A - General-40G. Annual fees payable.

40H Subdivision 5A - General-40H. Non-application of Companies Act 1965.

41 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-41. Interpretation.

42 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-42. Default rules.

43 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-43. Default proceedings of approved clearing house to take precedence over law of insolvency.

44 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-44. Supplementary provisions as to default proceedings.

45 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-45. Duty to report on completion of default proceedings.

46 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-46. Net sum payable on completion of default proceedings.

47 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-47. Disclaimer of property, rescission of contracts, etc .

48 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-48. Adjustment to prior transactions.

49 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-49. Right of relevant office-holder to recover certain amounts arising from certain transactions.

50 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-50. Law of insolvency in other jurisdictions.

51 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-51. Participant to be a party to certain transactions as principal.

52 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-52. Securities or derivatives delivered to an approved clearing house.

53 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-53. Securities transfers in settlement.

54 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-54. Purchase and sale of securities.

55 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-55. Immunity.

56 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-56. Preservation of rights, etc .

57 Subdivision 6 - Modifications to the law of insolvency and miscellaneous provisions relating to the operations and procedures of the approved clearing house-57. Exemption from regulations on reporting of substantial shareholding and Division 3A of the Companies Act 1965.

57A Subdivision 7 - Enforceability of netting provisions under qualified capital market agreement-57A. Interpretation.

57B Subdivision 7 - Enforceability of netting provisions under qualified capital market agreement-57B. Enforceability of rights under netting provision.

57C Subdivision 7 - Enforceability of netting provisions under qualified capital market agreement-57C. Application of this Part.

58 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-58. Requirement for Capital Markets Services Licence.

59 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-59. Requirement for Capital Markets Services Representative's Licence.

59A PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-59A. Civil liability of principal for acts of representative.

60 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-60. Application for grant of licence.

61 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-61. Grant of licence.

62 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-62. Power of Commission to impose conditions or restrictions on licences.

63 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-63. Fees.

64 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-64. Grounds for refusal for the grant of Capital Markets Services Licence.

65 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-65. Grounds for refusal for the grant of Capital Markets Services Representative's Licence.

66 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-66. Power of Commission to enquire into transactions in respect of securities and derivatives.

67 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-67. Minimum financial requirements.

68 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-68. [Deleted by Act A1406] .

69 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-69. Variation or transfer of licence.

70 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-70. [Deleted by Act A1437] .

71 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-71. False statements in relation to application for grant or variation of licence.

72 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-72. Revocation and suspension of licence.

73 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-73. Effect of revocation, suspension or cessation of licence, etc .

74 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-74. Notification of disqualifying event.

75 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-75. Appointment, election and nomination of directors and chief executive of licensed person, etc .

76 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-76. Registered persons.

76A PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-76A. Registration of persons providing capital market services.

77 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-77. Register of licence holders.

78 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-78. Notification of change of particulars.

79 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-79. Publication of names and addresses.

80 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-80. Appeals.

81 PART III CAPITAL MARKETS SERVICES Division 1 - Licensing and Regulation-81. Surrender of licence.

82 Division 2 - Records-82. Application of this Division.

83 Division 2 - Records-83. Register of securities.

84 Division 2 - Records-84. Notice of particulars to Commission.

85 Division 2 - Records-85. Defence to a prosecution.

86 Division 2 - Records-86. Production of register.

87 Division 2 - Records-87. Particulars of financial journalists.

88 Division 2 - Records-88. Commission may supply copy of the extract of a register.

89 Division 3 - Conduct of Business Subdivision 1 - General-89. [Deleted by Act A1499 of the year 2015] .

90 Division 3 - Conduct of Business Subdivision 1 - General-90. Issue of contract notes.

91 Division 3 - Conduct of Business Subdivision 1 - General-91. Disclosure of certain interests in securities.

92 Division 3 - Conduct of Business Subdivision 1 - General-92. Recommendations by licensed person.

92A Division 3 - Conduct of Business Subdivision 1 - General-92A. Information to be given to a person who invests in capital market product.

93 Division 3 - Conduct of Business Subdivision 1 - General-93. Priority given to client's order.

94 Division 3 - Conduct of Business Subdivision 1 - General-94. [Deleted by Act A1499 of the year 2015] .

95 Division 3 - Conduct of Business Subdivision 1 - General-95. [Deleted by Act A1499 of the year 2015] .

96 Division 3 - Conduct of Business Subdivision 1 - General-96. Additional obligations on licensed persons.

97 Subdivision 2 - Securities-97. Dealings as principal.

98 Subdivision 2 - Securities-98. Shortselling.

99 Subdivision 3 - Standardized derivatives-99. Trading in standardized derivatives on own account.

100 Subdivision 3 - Standardized derivatives-100. [Deleted by Act A1406] .

101 Subdivision 3 - Standardized derivatives-101. Trading limits in standardized derivatives.

102 Subdivision 3 - Standardized derivatives-102. [Deleted by Act A1406] .

103 Subdivision 3 - Standardized derivatives-103. [Deleted by Act A1406] .

104 Subdivision 3 - Standardized derivatives-104. Sequence of sending and carrying out of orders.

105 Subdivision 3 - Standardized derivatives-105. Trading in standardized derivatives outside Malaysia.

106 Subdivision 3 - Standardized derivatives-106. [Deleted by Act A1437] .

107 Subdivision 3 - Standardized derivatives-107. Failure to comply with sections 99, 101 and 104.

107A Subdivision 4 - Over-the-counter derivatives-107A. Interpretation.

107B Subdivision 4 - Over-the-counter derivatives-107B. Approval of trade repository.

107C Subdivision 4 - Over-the-counter derivatives-107C. Application for granting approval.

107D Subdivision 4 - Over-the-counter derivatives-107D. Withdrawal of approval.

107E Subdivision 4 - Over-the-counter derivatives-107E. Appointment of directors or chief executive officer of an approved trade repository.

107F Subdivision 4 - Over-the-counter derivatives-107F. Duty to maintain secrecy.

107G Subdivision 4 - Over-the-counter derivatives-107G. Permitted disclosure.

107H Subdivision 4 - Over-the-counter derivatives-107H. Powers of Commission to issue directions.

107I Subdivision 4 - Over-the-counter derivatives-107I. Rules of a trade repository.

107J Subdivision 4 - Over-the-counter derivatives-107J. Reporting obligation.

108 Division 4 - Books, Client's Assets Protection and Audit Subdivision 1 - Books-108. Keeping of books and furnishing of returns.

109 Subdivision 2 - Treatment of client's assets in respect of securities-109. Application of this Subdivision.

110 Subdivision 2 - Treatment of client's assets in respect of securities-110. Interpretation.

111 Subdivision 2 - Treatment of client's assets in respect of securities-111. Certain monies received by holder of Capital Markets Services Licence to be paid into trust account.

112 Subdivision 2 - Treatment of client's assets in respect of securities-112. Client's assets other than monies received by holder of Capital Markets Services Licence.

113 Subdivision 2 - Treatment of client's assets in respect of securities-113. Withdrawal of monies from trust account.

114 Subdivision 2 - Treatment of client's assets in respect of securities-114. Holder of Capital Markets Services Licence to supply copies of entries in books.

115 Subdivision 2 - Treatment of client's assets in respect of securities-115. Claims and liens not affected.

116 Subdivision 3 - Treatment of client's assets in respect of derivatives-116. Application of this Subdivision.

117 Subdivision 3 - Treatment of client's assets in respect of derivatives-117. Interpretation.

118 Subdivision 3 - Treatment of client's assets in respect of derivatives-118. Segregation of client's assets.

119 Subdivision 3 - Treatment of client's assets in respect of derivatives-119. Monies in segregated account not available for payment of debt, etc .

120 Subdivision 4 - Treatment of client's assets in respect of fund management-120. Application of this Subdivision.

121 Subdivision 4 - Treatment of client's assets in respect of fund management-121. Interpretation.

122 Subdivision 4 - Treatment of client's assets in respect of fund management-122. Operation of trust account.

123 Subdivision 4 - Treatment of client's assets in respect of fund management-123. Client's assets.

124 Subdivision 4 - Treatment of client's assets in respect of fund management-124. Right to copies of book entries, inspection of contract notes, etc .

125 Subdivision 5 - Range of actions Commission may take to protect clients under certain circumstances-125. Commission's actions to protect client's assets, etc .

126 Subdivision 6 - Audit-126. Appointment of auditor.

127 Subdivision 6 - Audit-127. Relevant person to lodge auditor's report.

128 Subdivision 6 - Audit-128. Duties of auditor.

129 Subdivision 6 - Audit-129. Duty of relevant person or its directors or officers to furnish information.

130 Subdivision 6 - Audit-130. Power of Commission to appoint independent auditor, etc .

131 Subdivision 6 - Audit-131. Power of Commission to appoint independent auditor, etc , upon application.

132 Subdivision 6 - Audit-132. Independent auditor, etc , to report to Commission.

133 Subdivision 6 - Audit-133. Powers of independent auditor appointed by Commission.

134 Subdivision 6 - Audit-134. Prohibition against communication of certain matters by independent auditors, etc , and employees.

135 Subdivision 6 - Audit-135. Books, accounts and records to be produced upon demand.

136 Subdivision 6 - Audit-136. Penalty for destroying, concealing or altering books or sending books or property out of Malaysia.

137 Subdivision 6 - Audit-137. Rights of exchange to impose obligations.

138 Subdivision 5 - Vesting-138. Interpretation.

139 Subdivision 5 - Vesting-139. Application to court to facilitate agreement or arrangement for transfer of the whole or part of business of licensed person.

139A PART IIIA PRIVATE RETIREMENT SCHEME INDUSTRY Division 1 - Preliminary-139A. Interpretation.

139B Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139B. Requirement for approval to establish or operate a private retirement scheme administrator.

139C Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139C. Application for approval.

139D Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139D. Refusal to approve.

139E Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139E. Appointment of directors of a private retirement scheme administrator.

139F Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139F. Withdrawal of approval.

139G Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139G. Effect of withdrawal.

139H Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139H. Duties and responsibilities of a private retirement scheme administrator.

139I Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139I. Terms of reference and rules of a private retirement scheme administrator.

139J Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139J. Monies received by a private retirement scheme administrator.

139K Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139K. Accounts and reports in respect of a private retirement scheme administrator.

139L Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139L. Power of Commission to take action in respect of private retirement scheme administrator.

139M Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139M. Duty to take reasonable security measures.

139N Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139N. Duty to maintain secrecy.

139O Division 2 - Private Retirement Scheme Subdivision 1 - Private retirement scheme administrator-139O. Permitted disclosure.

139P Subdivision 2 - Private retirement scheme provider-139P. Requirement for approval to establish, offer or provide a private retirement scheme.

139Q Subdivision 2 - Private retirement scheme provider-139Q. Application for approval .

139R Subdivision 2 - Private retirement scheme provider-139R. Refusal to approve.

139S Subdivision 2 - Private retirement scheme provider-139S. Withdrawal of approval.

139T Subdivision 2 - Private retirement scheme provider-139T. Effect of withdrawal.

139U Subdivision 2 - Private retirement scheme provider-139U. Notification of disqualifying event.

139V Subdivision 3 - Private retirement scheme-139V. Application for approval of a private retirement scheme.

139W Subdivision 3 - Private retirement scheme-139W. Refusal to approve.

139X Subdivision 3 - Private retirement scheme-139X. Withdrawal of approval.

139Y Subdivision 3 - Private retirement scheme-139Y. Contributions to vest in member as accrued benefits.

139Z Subdivision 3 - Private retirement scheme-139Z. Preservation of accrued benefits.

139ZA Subdivision 3 - Private retirement scheme-139ZA. Protection of accrued benefits.

139ZB Subdivision 3 - Private retirement scheme-139ZB. Effect of withdrawal.

139ZC Subdivision 4 - Scheme trustee-139ZC. Approval of scheme trustee.

139ZD Subdivision 4 - Scheme trustee-139ZD. Refusal to approve.

139ZE Subdivision 4 - Scheme trustee-139ZE. Withdrawal of approval.

139ZF Division 3 - Trustee for Employer-Sponsored Retirement Scheme-139ZF. Approval of employer trustee.

139ZG Division 3 - Trustee for Employer-Sponsored Retirement Scheme-139ZG. Refusal to approve.

139ZH Division 3 - Trustee for Employer-Sponsored Retirement Scheme-139ZH. Withdrawal of approval.

139ZI Division 4 - General-139ZI. Power to make regulations.

139ZJ Division 4 - General-139ZJ. Fee payable.

139ZK Division 4 - General-139ZK. False or misleading statement.

139ZL Division 4 - General-139ZL. Power to issue directions, etc .

139ZM Division 4 - General-139ZM. Disclosure of information to the Commission.

139ZN Division 4 - General-139ZN. Recommendations by licenced person.

139ZO Division 4 - General-139ZO. False or misleading declaration or furnishing false documents to provider and administrator.

139ZP Division 4 - General-139ZP. False or misleading statements.

139ZQ Division 4 - General-139ZQ. Use of manipulative and deceptive devices.

139ZR Division 4 - General-139ZR. Penalty for offences under sections 139ZP and 139ZQ.

139ZS Division 4 - General-139ZS. Nomination.

140 PART IV CAPITAL MARKET COMPENSATION FUND Division 1 - Interpretation-140. Interpretation for the purpose of Part IV.

141 Division 2 - The Capital Market Compensation Fund Corporation-141. The Corporation.

142 Division 2 - The Capital Market Compensation Fund Corporation-142. Functions of the Corporation.

143 Division 2 - The Capital Market Compensation Fund Corporation-143. Powers of the Corporation.

144 Division 2 - The Capital Market Compensation Fund Corporation-144. Duties and responsibilities of the Corporation.

145 Division 2 - The Capital Market Compensation Fund Corporation-145. Membership of the Corporation.

146 Division 2 - The Capital Market Compensation Fund Corporation-146. Removal, resignation and vacation of office of any member of the Corporation.

147 Division 2 - The Capital Market Compensation Fund Corporation-147. Meetings.

148 Division 2 - The Capital Market Compensation Fund Corporation-148. The Corporation may establish committee.

149 Division 2 - The Capital Market Compensation Fund Corporation-149. Delegation of the Corporation's functions and powers.

150 Division 2 - The Capital Market Compensation Fund Corporation-150. Remuneration, allowances or other expenses.

151 Division 2 - The Capital Market Compensation Fund Corporation-151. Disclosure of interest.

152 Division 2 - The Capital Market Compensation Fund Corporation-152. Power to engage persons to render assistance.

153 Division 2 - The Capital Market Compensation Fund Corporation-153. Duty to maintain secrecy.

154 Division 2 - The Capital Market Compensation Fund Corporation-154. Permitted disclosure.

155 Division 2 - The Capital Market Compensation Fund Corporation-155. Powers of the Commission to issue directions.

156 Division 2 - The Capital Market Compensation Fund Corporation-156. Cooperation and coordination.

157 Division 2 - The Capital Market Compensation Fund Corporation-157. Act or omission done in good faith.

158 Division 3 - The Capital Market Compensation Fund-158. Establishment of the Capital Market Compensation Fund.

159 Division 3 - The Capital Market Compensation Fund-159. Assets constituting the Capital Market Compensation Fund.

160 Division 3 - The Capital Market Compensation Fund-160. Contribution and levies.

161 Division 3 - The Capital Market Compensation Fund-161. Conservation of the Capital Market Compensation Fund.

162 Division 3 - The Capital Market Compensation Fund-162. Financial year.

163 Division 3 - The Capital Market Compensation Fund-163. Accounts and audit.

164 Division 3 - The Capital Market Compensation Fund-164. Annual report.

165 Division 4 - Provisions Relating to Claims-165. Rules of the Corporation.

166 Division 4 - Provisions Relating to Claims-166. Appeal to the Commission.

167 Division 4 - Provisions Relating to Claims-167. Assistance to the Corporation.

168 Division 4 - Provisions Relating to Claims-168. Subrogation of the Corporation to rights and remedies of claimant upon payment from the Capital Market Compensation Fund.

169 Division 4 - Provisions Relating to Claims-169. Power of the court to make certain orders.

170 Division 4 - Provisions Relating to Claims-170. Power of the Corporation to enter into contract of insurance.

171 Division 4 - Provisions Relating to Claims-171. Application of insurance money.

172 Division 4 - Provisions Relating to Claims-172. Monies in the Capital Market Compensation Fund upon winding up of the relevant stock exchange.

173 Division 4 - Provisions Relating to Claims-173. [Deleted by Act A1437] .

174 PART V MARKET MISCONDUCT AND OTHER PROHIBITED CONDUCT-174. Application of this Part.

175 Division 1 - Prohibited Conduct - Securities Subdivision 1 - Offences relating to false trading and market rigging, stock market manipulations, etc-175. False trading and market rigging transaction.

176 Division 1 - Prohibited Conduct - Securities Subdivision 1 - Offences relating to false trading and market rigging, stock market manipulations, etc-176. Stock market manipulations.

177 Division 1 - Prohibited Conduct - Securities Subdivision 1 - Offences relating to false trading and market rigging, stock market manipulations, etc-177. False or misleading statements, etc .

178 Division 1 - Prohibited Conduct - Securities Subdivision 1 - Offences relating to false trading and market rigging, stock market manipulations, etc-178. Fraudulently inducing persons to deal in securities.

179 Division 1 - Prohibited Conduct - Securities Subdivision 1 - Offences relating to false trading and market rigging, stock market manipulations, etc-179. Use of manipulative and deceptive devices.

180 Division 1 - Prohibited Conduct - Securities Subdivision 1 - Offences relating to false trading and market rigging, stock market manipulations, etc-180. Person or transaction to whom or which section 175 or 176 does not apply.

181 Division 1 - Prohibited Conduct - Securities Subdivision 1 - Offences relating to false trading and market rigging, stock market manipulations, etc-181. Dissemination of information about illegal transactions.

182 Division 1 - Prohibited Conduct - Securities Subdivision 1 - Offences relating to false trading and market rigging, stock market manipulations, etc-182. Penalty for offence under Subdivision 1.

183 Subdivision 2 - Insider trading-183. Information.

184 Subdivision 2 - Insider trading-184. Information generally available.

185 Subdivision 2 - Insider trading-185. Material effect on price or value of securities.

186 Subdivision 2 - Insider trading-186. Trading in securities.

187 Subdivision 2 - Insider trading-187. Reference to "procure".

188 Subdivision 2 - Insider trading-188. Prohibited conduct of person in possession of inside information.

190 Subdivision 2 - Insider trading-190. Secrecy arrangements by corporation.

191 Subdivision 2 - Insider trading-191. Secrecy agreements by partnerships.

192 Subdivision 2 - Insider trading-192. Underwriting and subunderwriting.

193 Subdivision 2 - Insider trading-193. Non-application of section 188 to transactions carried out under schemes of arrangement, etc , under any written law.

194 Subdivision 2 - Insider trading-194. Exception for corporation with knowledge of its intention.

195 Subdivision 2 - Insider trading-195. Exception of knowledge of individual's own intentions or activities.

196 Subdivision 2 - Insider trading-196. Unsolicited transaction.

197 Subdivision 2 - Insider trading-197. Exception for redemption of units of a unit trust scheme under buy-back covenant.

198 Subdivision 2 - Insider trading-198. Parity of information defence.

199 Subdivision 3 - Civil remedies-199. Civil liability for contravention of section 175, 176, 177, 178, 179 or 181.

200 Subdivision 3 - Civil remedies-200. Civil action by Commission.

201 Subdivision 3 - Civil remedies-201. Recovery of loss or damages.

202 Division 2 - Prohibited Conduct - Derivatives Subdivision 1 - Offences relating to false trading, bucketing, etc-202. False trading.

203 Division 2 - Prohibited Conduct - Derivatives Subdivision 1 - Offences relating to false trading, bucketing, etc-203. Bucketing.

204 Division 2 - Prohibited Conduct - Derivatives Subdivision 1 - Offences relating to false trading, bucketing, etc-204. Dissemination of information about false trading.

205 Division 2 - Prohibited Conduct - Derivatives Subdivision 1 - Offences relating to false trading, bucketing, etc-205. Manipulation of price of derivative and cornering.

206 Division 2 - Prohibited Conduct - Derivatives Subdivision 1 - Offences relating to false trading, bucketing, etc-206. Employment of devices, etc , to defraud.

207 Division 2 - Prohibited Conduct - Derivatives Subdivision 1 - Offences relating to false trading, bucketing, etc-207. False or misleading statements.

208 Division 2 - Prohibited Conduct - Derivatives Subdivision 1 - Offences relating to false trading, bucketing, etc-208. Prohibition of abuse of information obtained in official capacity.

209 Division 2 - Prohibited Conduct - Derivatives Subdivision 1 - Offences relating to false trading, bucketing, etc-209. Penalties for offence under Subdivision 1.

210 Division 2 - Prohibited Conduct - Futures Contracts Subdivision 2 - Civil remedies-210. Civil liability for contravention of section 202, 203, 204, 205, 206, 207 or 208.

211 Division 2 - Prohibited Conduct - Futures Contracts Subdivision 2 - Civil remedies-211. Civil action by Commission.

212 PART VI ISSUES OF SECURITIES AND TAKE-OVER AND MERGERS Division 1 - Listed and Unlisted Capital Market Product-212. Requirement for approval, registration, authorization or recognition.

213 Division 1A - Application for Approval-213. Application for approval.

214 Division 1A - Application for Approval-214. Grant of approval.

214A Division 1A - Application for Approval-214A. Refusal of an application.

215 Division 1A - Application for Approval-215. False or misleading statements, etc .

215A Division 1A - Application for Approval-215A. Application monies to be paid into a trust account where no prospectus is required.

216 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-216. Interpretation.

217 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-217. Malaysian Code on Take-Overs, Mergers and Compulsory Acquisation.

218 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-218. Compliance with Code, guidelines, directions, practice notes and rulings.

218A Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-218A. Power of Commission to appoint independent adviser.

218B Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-218B. Powers of independent adviser appointed by Commission.

218C Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-218C. Prohibition against communication of certain matters by independent advisers and employees.

218D Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-218D. Access to books, accounts and records, etc .

219 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-219. Exemptions.

220 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-220. Action by Commission in cases of non-compliance with Code, guidelines, directions, practice notes and rulings.

221 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-221. False or misleading documents, information, etc .

222 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-222. Compulsory acquisition.

223 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-223. Right of minority shareholder.

224 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-224. Application to court.

225 Division 2 - Take-Overs, Mergers and Compulsory Acquisitions-225. Non-application of section 180 of the Companies Act 1965.

226 Division 3 - Prospectus-226. Interpretation.

227 Division 3 - Prospectus-227. Invitation.

228 Division 3 - Prospectus-228. Offer for subscription or purchase.

229 Division 3 - Prospectus-229. Excluded offers and invitations.

230 Division 3 - Prospectus-230. Excluded issues.

231 Division 3 - Prospectus-231. Exceptions.

232 Division 3 - Prospectus-232. Requirement to register prospectus in relation to securities.

233 Division 3 - Prospectus-233. Registration of prospectus.

234 Division 3 - Prospectus-234. Requirement to lodge prospectus with Registrar.

235 Division 3 - Prospectus-235. Contents of prospectus.

236 Division 3 - Prospectus-236. General duty of disclosure in prospectus.

237 Division 3 - Prospectus-237. Abridged prospectus for renounceable rights issues.

238 Division 3 - Prospectus-238. Supplementary or replacement prospectus.

239 Division 3 - Prospectus-239. Consequences of registering a supplementary or replacement prospectus.

240 Division 3 - Prospectus-240. Regulations for shelf prospectuses, supplementary shelf prospectuses, short form prospectuses, profile statements, etc .

241 Division 3 - Prospectus-241. Restrictions in advertising.

242 Division 3 - Prospectus-242. Document containing offer of securities for purchase deemed to be a prospectus.

243 Division 3 - Prospectus-243. Allotment of securities where prospectus implies that application for permission to list on stock exchange had been made.

244 Division 3 - Prospectus-244. Consent from person to issue of prospectus containing statement by him.

245 Division 3 - Prospectus-245. Stop order.

246 Division 3 - Prospectus-246. Criminal liability for false statements, etc , in prospectus.

247 Division 3 - Prospectus-247. Persons not to be taken to have authorized or caused issue of prospectus.

248 Division 3 - Prospectus-248. Right to recover for loss or damage resulting from false or misleading statement in disclosure document or prospectus, etc .

249 Division 3 - Prospectus-249. Civil liability for misleading or deceptive acts.

250 Division 3 - Prospectus-250. Due diligence defence.

251 Division 3 - Prospectus-251. Reliance on statement and information in respect of false or misleading statement.

252 Division 3 - Prospectus-252. Reliance on statement and information in respect of misleading or deceptive act.

253 Division 3 - Prospectus-253. Reliance on public official statement in respect of false and misleading statement.

254 Division 3 - Prospectus-254. Defence of withdrawal of consent.

255 Division 3 - Prospectus-255. Restriction on offering securities for subscription or purchase.

256 Division 3 - Prospectus-256. Agreements, documents and prospectus to exclude or restrict liability void.

256A Division 3A - Application for Authorization or Recognition-256A. Interpretation.

256B Division 3A - Application for Authorization or Recognition-256B. Application for authorization or recognition.

256C Division 3A - Application for Authorization or Recognition-256C. Grant of authorization or recognition.

256D Division 3A - Application for Authorization or Recognition-256D. Refusal of authorization or recognition.

256E Division 3A - Application for Authorization or Recognition-256E. Withdrawal of authorization or recognition.

256F Division 3A - Application for Authorization or Recognition-256F. Effect of withdrawal.

256G Division 3A - Application for Authorization or Recognition-256G. Power to issue directions, etc .

256H Division 3B - Business Trust-256H. Interpretation and application.

256I Division 3B - Business Trust-256I. Application for registration or recognition.

256J Division 3B - Business Trust-256J. Registration of disclosure document.

256K Division 3B - Business Trust-256K. Registration or recognition of a business trust.

256L Division 3B - Business Trust-256L. Refusal to register or recognize a business trust.

256M Division 3B - Business Trust-256M. Withdrawal of registration or recognition.

256N Division 3B - Business Trust-256N. Effect of withdrawal of registration or recognition.

256O Division 3B - Business Trust-256O. Trustee-manager.

256P Division 3B - Business Trust-256P. Duties and responsibilities of a trustee-manager.

256Q Division 3B - Business Trust-256Q. Duties and responsibilities of officers and agents.

256R Division 3B - Business Trust-256R. Acquisition of interest in a business trust.

256S Division 3B - Business Trust-256S. Disclosure of interest in a transaction.

256T Division 3B - Business Trust-256T. Register of interest.

256U Division 3B - Business Trust-256U. Certification by chief executive officer and board of directors of trustee-manager.

256V Division 3B - Business Trust-256V. Disclosure of policies and practices.

256W Division 3B - Business Trust-256W. Removal of a trustee-manager.

256X Division 3B - Business Trust-256X. Resignation of a trustee-manager.

256Y Division 3B - Business Trust-256Y. Replacement of a trustee-manager.

256Z Division 3B - Business Trust-256Z. Requirement for a deed.

256ZA Division 3B - Business Trust-256ZA. Exemption and indemnification of a trustee-manager from liability.

256ZB Division 3B - Business Trust-256ZB. Annual general meeting.

256ZC Division 3B - Business Trust-256ZC. Duty of a trustee-manager to call for meeting.

256ZD Division 3B - Business Trust-256ZD. Power of court to order meeting of unit holders.

256ZE Division 3B - Business Trust-256ZE. Unit holders' rights at meeting.

256ZF Division 3B - Business Trust-256ZF. Action by unit holders.

256ZG Division 3B - Business Trust-256ZG. Winding up.

256ZH Division 3B - Business Trust-256ZH. Limitation of liability of unit holders.

256ZI Division 3B - Business Trust-256ZI. Creditors of unit holders to have no rights to obtain possession of trust property or asset.

256ZJ Division 3B - Business Trust-256ZJ. Voluntary deregistration by a trustee-manager.

256ZK Division 3B - Business Trust-256ZK. Power of Commission to deregister defunct business trust.

256ZL Division 3B - Business Trust-256ZL. Reporting to Commission.

256ZM Division 3B - Business Trust-256ZM. Powers of Commission to issue directions.

256ZN Division 3B - Business Trust-256ZN. Power to make regulations.

256ZO Division 3B - Business Trust-256ZO. Duty of a trustee-manager to lodge returns, etc .

256ZP Division 3C - False or Misleading Statement under Divisions 3A and 3B-256ZP. False or misleading statements or information to the Commission.

257 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-257. Application of this Division.

258 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-258. Requirement for trust deed and trustee.

259 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-259. Form and contents of trust deeds.

260 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-260. Persons who can be trustees.

261 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-261. Existing trustee to continue to act until new trustee takes office.

262 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-262. Replacement of trustee.

263 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-263. Duties of the borrower.

264 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-264. Duty of borrower to replace trustee.

265 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-265. Duty of borrower to inform trustee about charge, etc .

266 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-266. Duty of borrower to give trustee and Commission quarterly reports.

267 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-267. Duty of borrower to inform trustee and Commission of occurrence of material event.

268 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-268. Duty of borrower where prospectus states purpose or project for which monies are to be applied.

269 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-269. Obligations of directors of borrower to deliver financial statements.

270 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-270. Borrower to issue document evidencing indebtedness, etc .

271 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-271. Duties of guarantors.

272 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-272. Obligations of directors of guarantor to deliver financial statements.

273 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-273. Duties of trustees.

274 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-274. Exemptions and indemnification of trustee from liability.

275 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-275. Indemnity of trustee.

276 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-276. Duty of auditor to trustee for debenture holders.

277 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-277. Duty of borrower to call a meeting.

278 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-278. Power of trustee to call a meeting.

279 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-279. Court may order a meeting of debenture holders.

280 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-280. Powers of Commission to protect interests of debenture holders.

280A Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-280A. Duty to inform Commission, etc .

281 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-281. General power of court to give directions and determine questions.

282 Division 4 - Debentures Subdivision 1 - Trust deeds, duties of trustees, borrowers, etc-282. Specific power of the court.

283 Subdivision 2 - General-283. Register of debenture holders.

284 Subdivision 2 - General-284. Specific performance.

285 Subdivision 2 - General-285. Perpetual debentures.

286 Subdivision 2 - General-286. Reissue of redeemed debentures.

287 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-287. Interpretation.

288 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-288. Requirement for trustee and deed.

289 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-289. Approval of trustee and management company.

290 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-290. Persons who can be trustees.

291 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-291. Existing trustee to continue to act until new trustee takes office.

292 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-292. Replacement of trustee.

293 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-293. Registration of deed.

294 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-294. Contents of deed.

295 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-295. Modification of deed through supplementary deed.

296 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-296. Deed to be lodged with Commission.

297 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-297. Duties of a management company.

298 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-298. Duty of management company to lodge returns, etc .

299 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-299. Duty of management company to replace trustee.

300 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-300. Duties of trustee.

301 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-301. Duty of trustee to wind up scheme.

302 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-302. Duties of management company and trustee under general law.

303 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-303. Exemptions and indemnification of trustee from liability.

304 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-304. Indemnity of trustee.

305 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-305. Duty of management company to call meeting of unit holders.

306 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-306. Power of trustee to call a meeting.

307 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-307. Court may order a meeting of unit holders.

308 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-308. Register of unit holders.

309 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-309. Where register is to be kept.

310 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-310. Closure and inspection of register.

311 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-311. Power of court to rectify register.

312 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-312. Branch register.

313 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-313. Rights of trustee, executor, administrator in relation to a deceased unit holder.

314 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-314. Power of court to make orders.

315 Division 5 - Unit Trust Schemes and Prescribed Investment Scheme-315. Non-application of Division 5 of Part VI.

316 Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316. Interpretation..

316A Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316A. Islamic capital market products.

316B Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316B. Islamic securities.

316C Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316C. Prescription by Minister in respect of Islamic securities, Islamic derivatives or Islamic capital market product, etc .

316D Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316D. Application of Division 4 of Part VI of this Act.

316E Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316E. [Deleted Act A1499 of the year 2015] .

316F Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316F. [Deleted Act A1499 of the year 2015] .

316G Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316G. [Deleted Act A1499 of the year 2015] .

316H Division 6 - Islamic capital market products, Islamic securities, etc Subdivision I - General-316H. [Deleted Act A1499 of the year 2015] .

317 PART VII PROVISIONS APPLICABLE TO LISTED CORPORATIONS-317. Duty of chief executive and directors of listed corporation to disclose interests in securities.

317A PART VII PROVISIONS APPLICABLE TO LISTED CORPORATIONS-317A. Prohibited conduct of director or officer of a listed corporation.

318 PART VII PROVISIONS APPLICABLE TO LISTED CORPORATIONS-318. Disqualification of chief executive or director of listed corporations.

319 PART VII PROVISIONS APPLICABLE TO LISTED CORPORATIONS-319. Submission of information.

320 PART VII PROVISIONS APPLICABLE TO LISTED CORPORATIONS-320. Duties of auditor of listed corporations.

320A PART VII PROVISIONS APPLICABLE TO LISTED CORPORATIONS-320A. False or misleading financial statements of a listed corporation.

321 PART VII PROVISIONS APPLICABLE TO LISTED CORPORATIONS-321. Protection for persons against retaliation for reporting to authorities in specific circumstances.

322 PART VIII SELF-REGULATORY ORGANIZATIONS-322. Interpretation.

323 PART VIII SELF-REGULATORY ORGANIZATIONS-323. Recognition of a self-regulatory organization.

324 PART VIII SELF-REGULATORY ORGANIZATIONS-324. Duties of a recognized self-regulatory organization.

325 PART VIII SELF-REGULATORY ORGANIZATIONS-325. Rules of a recognized self-regulatory organization.

326 PART VIII SELF-REGULATORY ORGANIZATIONS-326. Appointment of directors of a recognized self-regulatory organization.

327 PART VIII SELF-REGULATORY ORGANIZATIONS-327. Powers to issue directions to a recognized self-regulatory organization.

328 PART VIII SELF-REGULATORY ORGANIZATIONS-328. Withdrawal of recognition.

329 PART VIII SELF-REGULATORY ORGANIZATIONS-329. Protection for a recognized self-regulatory organization.

330 PART VIII SELF-REGULATORY ORGANIZATIONS-330. Accounts and reports in respect of a recognized self-regulatory organization.

331 PART VIII SELF-REGULATORY ORGANIZATIONS-331. Provision of assistance to Commission.

332 PART IX CAPITAL MARKET DEVELOPMENT FUND-332. Establishment of Capital Market Development Fund.

333 PART IX CAPITAL MARKET DEVELOPMENT FUND-333. Assets constituting Fund.

334 PART IX CAPITAL MARKET DEVELOPMENT FUND-334. Objects of the Fund, etc .

335 PART IX CAPITAL MARKET DEVELOPMENT FUND-335. Membership of the Board.

336 PART IX CAPITAL MARKET DEVELOPMENT FUND-336. Tenure of office.

337 PART IX CAPITAL MARKET DEVELOPMENT FUND-337. Resignation and revocation of appointment.

338 PART IX CAPITAL MARKET DEVELOPMENT FUND-338. Vacation of office.

339 PART IX CAPITAL MARKET DEVELOPMENT FUND-339. Quorum and procedures of meetings.

340 PART IX CAPITAL MARKET DEVELOPMENT FUND-340. Disclosure of interest.

341 PART IX CAPITAL MARKET DEVELOPMENT FUND-341. Conservation of the Fund.

342 PART IX CAPITAL MARKET DEVELOPMENT FUND-342. Financial year.

343 PART IX CAPITAL MARKET DEVELOPMENT FUND-343. Accounts and audit.

344 PART IX CAPITAL MARKET DEVELOPMENT FUND-344. Power of Minister in relation to the Board.

345 PART IX CAPITAL MARKET DEVELOPMENT FUND-345. Dissolution of the Fund.

346 PART IX CAPITAL MARKET DEVELOPMENT FUND-346. Power to make regulations.

346A PART IXA MANAGEMENT OF SYSTEMIC RISK IN THE CAPITAL MARKET [DELETED BY ACT A1499 OF THE YEAR 2015]-346A. [Deleted by Act A1499 of the year 2015] .

346B PART IXA MANAGEMENT OF SYSTEMIC RISK IN THE CAPITAL MARKET [DELETED BY ACT A1499 OF THE YEAR 2015]-346B. [Deleted by Act A1499 of the year 2015] .

346C PART IXA MANAGEMENT OF SYSTEMIC RISK IN THE CAPITAL MARKET [DELETED BY ACT A1499 OF THE YEAR 2015]-346C. [Deleted by Act A1499 of the year 2015] .

346D PART IXA MANAGEMENT OF SYSTEMIC RISK IN THE CAPITAL MARKET [DELETED BY ACT A1499 OF THE YEAR 2015]-346D. [Deleted by Act A1499 of the year 2015] .

347 PART X DISCLOSURE OF INFORMATION Division 1 - Application-347. Application of this Part Division 2 Disclosure of information.

348 Division 2 - Disclosure of Information-348. Power of Commission to require production of books.

349 Division 2 - Disclosure of Information-349. Offences.

350 Division 2 - Disclosure of Information-350. Power to specify form and manner of submission.

351 Division 2 - Disclosure of Information-351. Privileges.

352 Division 2 - Disclosure of Information-352. Disclosure to Commission.

353 Division 2 - Disclosure of Information-353. Disclosure of information relating to dealing in securities or dealing in derivatives.

354 PART XI ADMINISTRATIVE AND CIVIL ACTIONS-354. Powers of Commission to take action.

355 PART XI ADMINISTRATIVE AND CIVIL ACTIONS-355. Power of Commission to take action against derivative exchange, approved clearing house, etc , for failure to comply with rules, regulations, etc .

356 PART XI ADMINISTRATIVE AND CIVIL ACTIONS-356. Powers concerning compliance with conditions of licence, etc , by licensed persons.

357 PART XI ADMINISTRATIVE AND CIVIL ACTIONS-357. Civil liability of person in contravention of the securities laws.

358 PART XI ADMINISTRATIVE AND CIVIL ACTIONS-358. Commission may recover loss or damage.

359 PART XI ADMINISTRATIVE AND CIVIL ACTIONS-359. Reference to conduct.

360 PART XI ADMINISTRATIVE AND CIVIL ACTIONS-360. Power of court to make certain orders.

361 PART XI ADMINISTRATIVE AND CIVIL ACTIONS-361. Application for winding up.

362 PART XII GENERAL-362. Prohibition of use of certain titles.

362A PART XII GENERAL-362A. Derivatives not gaming or wagering contract.

363 PART XII GENERAL-363. Copy of book as prima facie evidence.

364 PART XII GENERAL-364. Application by aggrieved person for review.

365 PART XII GENERAL-365. Time for application for review.

366 PART XII GENERAL-366. Decision of Minister to be final.

367 PART XII GENERAL-367. Offences by bodies of persons and by employees and agents.

368 PART XII GENERAL-368. Falsification of records.

369 PART XII GENERAL-369. False or misleading statement to Commission, exchange or approved clearing house, etc .

370 PART XII GENERAL-370. Attempts, abetments and conspiracies.

371 PART XII GENERAL-371. [Deleted by Act A1499 of the year 2015] .

372 PART XII GENERAL-372. General penalty.

373 PART XII GENERAL-373. Compounding of offences.

374 PART XII GENERAL-374. Convicted persons liable to pay compensation.

375 PART XII GENERAL-375. Conduct of prosecution.

376 PART XII GENERAL-376. Indemnity.

377 PART XII GENERAL-377. Guidelines and practice notes of Commission.

378 PART XII GENERAL-378. Power to make regulations.

378A PART XII GENERAL-378A. Power to enter into arrangements.

379 PART XII GENERAL-379. Settlement of disputes.

380 PART XII GENERAL-380. Power to amend Schedules.

381 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-381. Repeal of Securities Industry Act 1983 and Futures Industry Act 1993 and savings and transitional in respect thereof.

382 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-382. Approved exchange holding companies, exchanges and approved clearing house deemed to have been approved.

383 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-383. Electronic facility deemed registered.

384 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-384. Savings in respect of licences issued under the repealed Acts.

385 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-385. Pending applications for licences.

386 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-386. Transitional and savings in respect of corporate proposals.

387 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-387. Transitional provisions in relation to certain registered persons.

388 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-388. Revocation of subsidiary legislation.

389 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-389. Modifications to construction of other written laws.

390 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-390. Continuance of other rights, liabilities, etc , under the repealed Acts.

391 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-391. Prevention of anomalies.

392 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-392. Persons dealing in securities in relation to unit trust scheme.

393 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-393. Transitional provisions for unlicensed unit trust management companies.

394 PART XIII REPEAL, SAVINGS AND TRANSITIONAL PROVISIONS-394. Transitional provision for corporate finance executives and research analysts.

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