Conventus Law
Conventus Law
The Securities Commission Malaysia has revised its guidelines on market conduct and business practices for stock broking companies and licensed representatives which takes effect on 4 April 2022.
In these revised guidelines, a new Chapter 9A has been introduced to set out the requirements which must be complied by both the stockbroking company and its licensed representative for the licensed representative to offer investment advice on listed securities.
Christina S.C. Kow – Shearn Delamore & Co,
christina@shearndelamore.com
Christina provides strategic legal advice on foreign exchange policy, the regulation of financial institutions, the regulation of securities (including collective investment schemes, securities borrowing and lending, licensing of regulated activities) and the regulation of derivatives.
She has extensive documentation experience in banking and financing transactions that include financing from conventional banks for project financing and working capital purposes, treasury products, debt capital market offerings, Islamic financing (both domestic and cross border), structured finance products and investment products.
In the developing fintech and regtech space, Christina gives advice on structures involving financial services or capital markets including cryptocurrencies, electronic payments and electronic platforms.
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