Securities regulation in Malaysia /

Securities regulation in Malaysia /

Kaydedildi:
Detaylı Bibliyografya
Yazar: Low, Chee Keong
Materyal Türü: Kitap
Dil:English
Baskı/Yayın Bilgisi: Kuala Lumpur : Malayan Law Journal Sdn Bhb, 1997.
Konular:
Securities > Law and legislation > Malaysia.
Stock exchanges > Law and legislation > Malaysia.
Online Erişim:Table of contents
İçindekiler:
  • Machine derived contents note: Chapter One
  • OVERVIEW OF THE SECURITIES AND FUTURES
  • INDUSTRIES IN MALAYSIA
  • Introduction
  • Classification of financial markets
  • Primary and secondary markets
  • Money and capital markets
  • Exchange markets and over-the-counter markets
  • Foreign exchange and commodities markets
  • Markets for derivative financial instruments
  • The need for securities and futures regulation
  • The current framework
  • Chapter Two
  • REGULATION OF THE SECURITIES INDUSTRY
  • Introduction
  • Merit-based securities regulation :
  • Disclosure-based securities regulation
  • Principal regulatory bodies
  • Securities Industry Act 1983
  • The regulation of exchanges and clearing houses
  • Historical development
  • Legal status of the KLSE
  • Membership of the KLSE
  • Supervision by the Securities Commission
  • The organisational structure of the KLSE
  • The KLSE group of companies
  • Recent initiatives
  • Licensing and conduct of persons engaged in securities industry
  • Broker-client relationship
  • The licensing framework
  • Application procedure
  • Granting and renewal of licenses
  • Dual licenses
  • Conduct of securities business
  • Disclosure requirements
  • Audit requirements
  • Compensation fund
  • Securities Commission Act 1993
  • Background
  • Organisational structure of the Securities Commission
  • Funding of the Securities Commission
  • Powers and functions of the Securities Commission
  • Securities Commission Guidelines
  • Enforcement and investigations
  • Securities Industry (Central Depositories) Act 1991
  • The Companies Act 1965
  • Chapter Three
  • LISTING REQUIREMENTS AND CONTINUING
  • OBLIGATIONS
  • Introduction
  • Terminology
  • Advantages and disadvantages of going public
  • Types of listed securities
  • Share capital
  • Fixed income securities
  • Warrants
  • Capital raising exercises in 1994 and 1995
  • Procedure for initial public offering and listing
  • Requirements under the SC Guidelines
  • Quantitative requirements
  • Flexibility for Bumiputera-controlled companies
  • Qualitative requirements
  • Additional requirements for the listing of specific
  • companies
  • Price of issue/offer
  • Underwriting arrangements
  • Undertakings by substantial shareholders and promoters
  • Preferential allocation
  • Continuing obligations
  • The KLSE listing requirements
  • An overview
  • Criteria for admission
  • Shareholding spread
  • Form and content of application
  • Continuing obligations
  • Disclosure of acquisitions and disposals
  • Connected transactions
  • Penalties
  • Chapter Four
  • PROSPECTUSES
  • Introduction
  • An overview of the role of the Securities Commission
  • The ambit of section 32 of the Securities Commission
  • Act 1993
  • The Securities Commission guidelines
  • Requirements under the Companies Act
  • The framework
  • Offer to the public
  • Registration and issue
  • Contents of prospectuses
  • The KLSE listing requirements
  • Comparison between the Companies Act and the listing
  • requirements
  • Supplemental prospectus
  • Restrictions on allotment
  • Share hawking
  • Public offering of participatory interests
  • Proposals for reform
  • Deregulation of presentation
  • Administrative changes
  • Chapter Five
  • REMEDIES FOR MISSTATEMENTS AND
  • NON-DISCLOSURES IN PROSPECTUSES
  • Introduction
  • Civil liability under unenacted law
  • Rescission against the other contracting party
  • Damages from the other contracting party
  • Damages from persons other than the other
  • contracting party
  • Statutory liability under the Companies Act 1965
  • Limitations of recovery under the Companies Act
  • Criminal liability under the Companies Act
  • Sanctions under securities laws
  • Chapter Six
  • PROHIBITED MARKET PRACTICES
  • Introduction
  • Shortselling
  • Market manipulation and false information I
  • Insider trading
  • Chapter Seven
  • TAKE-OVERS AND MERGERS
  • Introduction
  • Economic overview of take-overs
  • Pre-1995 regulatoryfraework
  • Effect of the 1995 amendments
  • Objectives of regulating take-overs
  • The Take-Overs Code
  • The new Code
  • Application of theCodes
  • The Take-Overs Code I e
  • The new Code
  • Exemptions under the Cods
  • Procedure for take-overs
  • Offer documents t
  • Compulsory take-overs
  • The existing system e
  • The new system
  • Partial take-overs
  • The existing system
  • The new system
  • Duties of the board of the target company
  • An overview
  • Appointment of independent advisers
  • Preparation of documents c
  • Prohibited conduct under te Codes i
  • Defensive strategies and tactics
  • Foreign Investment Comiiriittee guidelines
  • Policies and guidelines on offer/issueofsecurties
  • Chapter Eight
  • THE REGULATION OF FUTURES MARKETS
  • Introduction
  • The Kuala Lumpur Options And Financial Futures Exchang
  • Tue Inutiy (Am
  • future Idutr (Amedmen Ad ConsolidaCtonAc197...
  • The challenges ahead
  • Chapter Nine
  • RECENT DEVELOPMENTS
  • Introduction
  • The securities industry
  • Establishment of Mesdaq
  • Guidelines on the listing of foreign-based companies
  • Shortening of settlement period
  • The futures markets
  • Ringgit bond market and securitisation
  • Ringgit bond market
  • Securitisation
  • Education and training
  • Appendices
  • Index.

Benzer Materyaller