Regulatory Enforcement

Regulatory compliance and enforcement are carried out and imposed by law enforcement authorities and agencies over the financial and business activities or corporations and individuals. These authorities and agencies include Bank Negara Malaysia, Companies Commission of Malaysia, Securities Commission, Bursa Malaysia and Inland Revenue Board. As these regulatory frameworks are mandatory and strict, there is an ever growing need and necessity for legal assistance in dealing with the relevant authorities and complying with the necessary regulations. 

Our Services

Our services and support include, but is not limited to the following areas:

  • Advising companies/individuals on compliance with the relevant regulations.
  • Advising and representing companies/individuals in dealing with enquiries and enforcement by the relevant authorities.
  • Advising complainants/victims or suspects on their rights and remedies.
  • Drafting and assisting complainants/victims in lodging reports to the relevant authorities.
  • Drafting and negotiating amicable settlements for complainants/victims or suspects. 
  • Representing and defending suspects against criminal charges and proceedings in Court.
  • Conducting watching brief for complainants/victims in Court.

Our Experience

Our experiences in the past include:

  • Representing and defending a company director charged under Section 317A of the Capital Markets and Services Act 2007 for allegedly causing wrongful loss to a public listed company amounting to RM5.1 million.
  • Successfully represented and defended company directors charged under Section 122B(b)(bb) of the Securities Industry Act 1983 for allegedly submitting false statements in a public listed company’s quarterly report to Bursa Malaysia. Our clients were acquitted and discharged at the end of the prosecution stage. 
  • Advising a public listed company on Bursa Malaysia’s requirements with regards to announcements on property acquisition with the objective of avoiding insider trading.

Related Services

  • Business Crime
  • Disciplinary Procedures
  • Whistleblowing
  • Criminal Law
Raymond Mah
Managing Partner
John Chan
Associate
Vivien Fan
Associate

How can we help you?

Schedule a meeting with us