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Regulatory & Capital Markets
Regulatory & Capital Markets
CRG provides strategic counsel to public listed company enforcement cases, directors enforcement cases, market offences/market manipulation/misconduct cases, actions against Participating Organisations (“POs”) for supervisory failures and/or ineffective compliance functions, actions against POs/ Trading Participants (“TPs”), who are facing complex regulatory challenges. With decades of experience inside Malaysia’s regulatory bodies, we anticipate the way regulators think and act, enabling our clients to stay one step ahead.
What We Do?
We assist our clients in responding to an informal inquiry or formal investigations and approaching the enforcement/disciplinary proceedings and processes applicable as issued in Bursa Malaysia’s Enforcement/Disciplinary Proceedings & Processes (ICON-DP) to secure the most favourable possible result. - Listing rule regulatory compliance, internal audits, and enforcement readiness.
- Represented clients in investigations conducted by Securities Commission (SC), Bursa Malaysia, and other regulatory authorities, providing legal and regulatory guidance and representation throughout the course of the investigations.
- Advisory on market misconduct, insider trading, and disclosure breaches.
- Defence strategies for directors and companies for enforcement actions, and capital market participants.
Representative Experience
Advised and represented listed issuers, directors, brokers, compliance officers, and principal officers, in regulatory investigations and enforcement-related matters, including the defence of proceedings arising from alleged breaches of securities and capital markets regulations.