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

August 01, 2019
in News
by admin


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

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

Our partners, Dato’ Loh Siew Cheang, Tan Ming-li and Evelyn Chan have authored the book entitled Capital Markets Discipline & Misconduct, which was published by LexisNexis in May 2019. This new title is a sequel to the Corporate Powers – Accountability authored by Dato’ Loh Siew Cheang.

The book provides an understanding into the legislative and regulatory framework of the Securities Commission Act 1993 (SCA) and the Capital Markets and Services Act 2007 (CMSA), the enforcement and compliance regime under these two statutes, followed by the compliance regime under Bursa Malaysia Securities Berhad’s Main Market Listing Requirements (MMLR). In this work, the authors have made references to the guidelines and revision issued by the Securities Commission Malaysia (SC) as at 19 March 2019.

In the authors’ effort to fill the void in the area of capital markets regulation, the book provides an analysis and exploration relating to, among others, judicial and administrative enforcement of the capital market rules by the regulatory authorities, the remedies that are provided to private persons who are aggrieved by misconduct, the roles and responsibilities of the chief executive and directors of a listed corporation under the CMSA and MMLR, the analysis of the regulation in the equity capital market (ECM) and debt capital market (DCM), disclosure rules and liabilities, the duties and responsibilities of market intermediaries, insider trading and artificial interferences or distortions with the natural forces of supply and demand on the stock exchange. The regulations of take-overs, mergers and compulsory acquisitions are also studied.

All royalties derived from this work are donated to Cancer Research Malaysia, an independent and non-profit cancer research organisation based in Malaysia.