Supervision of Brokers
Supervision of Brokers
Bursa Malaysia closely supervises the business conduct of brokers and their representatives with the aim of achieving the following objectives:-
- To ensure secure, fair and orderly trading environment through effective monitoring and supervision
- To ensure adequate protection of investors who engage the services of the brokers for trading: and
- To effectively monitor the activities of brokers to ensure that brokers are providing secure and trusted services to investors
We regulate and supervise two groups of brokers:-
- stock brokers (stockbroking companies) i.e. Participating Organisations
- futures brokers (futures broking companies) i.e. Trading Participants
As a frontline regulator, we monitor and supervise the stockbroking and futures broking companies in respect of the Bursa Malaysia Rules, directives and circulars
We strive to deliver a high level of service and maintain effective working relationship with brokers. In order to ensure that enquiries can be channeled promptly and to the right personnel, we have dedicated personnel to assist specific broker groups in enquiries relating to the Rules of Bursa Malaysia. This is essential to encourage and promote greater compliance with the Rules of Bursa Malaysia.
Kindly forward your enquires relating to onsite and offsite supervision to the following emails:
isd1@bursamalaysia.com
isd2@bursamalaysia.com
isd3@bursamalaysia.com
Kindly forward your enquires relating to registration, continuous obligation and education to the following email: pa@bursamalaysia.com