Regulatory Alerts2021-12-30
Guidelines on Conduct for Capital Market Intermediaries
The Securities Commission Malaysia issued these Guidelines to establish minimum standards of conduct for capital market intermediaries and their representatives. The document mandates adherence to principles of honesty, fairness, care, and diligence while requiring robust management of conflicts of interest and protection of client assets and information. Compliance is enforced through strict internal controls, transparent communication with regulators, and assessment based on the intermediary's overall conduct culture and client trust.
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