Capital Market Products Regulations
Competency Title:
Capital Market Products Regulations
Competency Type:
Foundational
Competency Description
This competency refers to the ability to identify and apply the knowledge of the regulatory framework related to securities offerings in Malaysia. The scope includes knowledge of the requirements for structuring and issuance of securities offerings, offering of debentures, unit trust schemes and prescribed investment schemes in a timely manner.
Level 1 - Awareness
Level 1
• Identify the rules and regulations applicable to capital market products.
• Outline the various capital market products from a regulatory perspective.
Level 2 - Knowledge
Level 2
• Identify the relevant regulatory requirements and procedures applicable for different product offerings.
• Distinguish product offerings that require approval and those that are exempted.
Level 3 - Skill
Level 3
• Prepare corporate proposals for product offerings in accordance with regulatory requirements.
• Prepare disclosure documents for the product offerings in a timely manner and in compliance with regulatory requirements.
• Submit and liaise with relevant authorities to obtain approval for product offerings.
Level 4 - Mastery
Level 4
• Interpret the rules and regulations and advise clients on structuring and issuance of product offerings.
• Draft documents required to set up the product offering structure in a timely manner and in compliance with regulatory requirements.
• Review and approve corporate proposals and disclosure documents for sufficiency and compliance.
Level 5 - Expert
Level 5
• Engage with regulators and contribute to the improvement of rules and regulations on capital market products.
• Advise clients on structuring and issuance of product offerings to achieve their strategy.
• Advise and clarify the legal perspective to resolve complex issues related to product regulations.