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Capital Markets Discipline & Misconduct (eBook)

This work provides a comprehensive understanding into the legislative and regulatory framework of the CMSA 2017 over the important subject matter of discipline and misconduct in the capital markets.
by Dato’ Loh Siew Cheang (Author) , Tan Ming-li (Author) , Evelyn Chan (Author)
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Published: 24 April, 2019
ISBN/ISSN: 9789674008321

Product description

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.
 

Featured Authors

Dato’ Loh Siew Cheang
Tan Ming-li
Evelyn Chan

Dato’ Loh Siew Cheang

Dato' Loh Siew Cheang graduated from the University of Malaya and was called to the Malaysian Bar in 1978. He is the author of Corporate Powers: Accountability, which in its third edition. He is also a co-author of Company Law (Hong Kong) with Dr. William Wong SC and Mr. Kerby Lau of Des Voeux Chambers, which is now in its second edition. He specialises in companies and securities law.

View all books by Dato’ Loh Siew Cheang (2)

Tan Ming-li

Ming-li graduated from the University of Melbourne. She was admitted as an advocate & solicitor of the High Court of Malaya in 1994 and has been in active practice since then. She has over 25 years of experience in corporate and securities matters. She specialises in equity capital market and related corporate finance exercises, takeovers, mergers and acquisitions and corporate and debt restructuring work. In her early years of practice, she was actively involved in intellectual property and corporate and commercial litigation.

View all books by Tan Ming-li (2)

Evelyn Chan

Evelyn graduated from the University of Northumbria. She was admitted as an advocate & solicitor of the High Court of Malaya in 2008 and has been in active practice specialising in banking and finance transactions (including both conventional and Islamic finance) such as debt capital markets financing, bilateral and syndicated transactions, bridging loans and offshore loans; before joining the investment bank as a legal and compliance officer in 2015. Evelyn joined CCA as a partner in 2018.

View all books by Evelyn Chan (2)

Table of contents

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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