Competency Title:

Capital Market Institutions

Competency Type:


Competency Description

This competency refers to the ability to understand and apply knowledge of the regulatory landscape of the Malaysian capital market. The scope includes knowledge of the principles of regulation, roles and functions of the relevant authorities and the regulatory framework.

Level 1 - Awareness

Level 1

• Outline the regulatory framework of the Malaysian capital market industry.
• Describe the organisation and structure of the relevant regulatory bodies.
• Outline the activities that are regulated in the capital market.
Level 2 - Knowledge

Level 2

• Identify regulatory bodies responsible for the various capital market laws and regulations.
• Identify the principles used by respective regulatory bodies to implement the laws and regulations.
• Identify laws and regulations applicable to the Malaysian capital market.
Level 3 - Skill

Level 3

• Describe the roles and functions of the relevant regulatory bodies related to capital market activities.
• Explain the regulatory requirements applicable to specific regulated activities.
• Adhere to regulatory requirements while executing duties, particularly those related to regulated activities.
Level 4 - Mastery

Level 4

• Establish and maintain internal structure and functions in compliance with regulatory requirements.
• Implement business practices that support compliance with the regulatory requirements.
• Align internal policies and procedures to comply with regulatory requirements.
• Participate and contribute in own area of expertise to improve existing regulations.
Level 5 - Expert

Level 5

• Develop new regulatory framework to meet the demands of new developments in the capital market industry.
• Review and recommend improvements in current regulatory framework to align with changes in the capital market industry.
• Engage with regulators and industry players to advocate a robust regulatory framework.