Topic: Introduction to Financial Market
Assessment Type: Quiz
Platform: WAYGROUND
Weightage: 1% (Individual Assignment – 30%)
Marking Method: Auto-marked via platform

🧭 Task Overview

This week’s activity introduces students to the basic structure and function of financial markets in Malaysia. Through this gamified quiz, you will review key concepts such as:

• The definition and purpose of financial markets.

• Types of financial markets (money market vs capital market).

• Main participants and instruments traded.

• The role of regulation and transparency in maintaining market confidence.

  
  

The activity is designed as a Quizizz/Kahoot-style gameshow, hosted through Wayground.

📝 Instructions

1. Click the link below to access the quiz:
   👉 https://wayground.com/join?gc=15636618

2. Complete the quiz individually within the given week (Week 2).

3. Ensure you submit your answers before the deadline — late attempts will not be graded.

4. The system will auto-mark your responses and display your score immediately.

5. Record your obtained marks in the Mark Recording Spreadsheet provided by the lecturer.

6. Do not refresh or reattempt the quiz unless explicitly allowed by the lecturer.

⚠️ Academic Integrity

This is an individual task. Any form of collaboration, discussion, or answer-sharing is strictly prohibited.
Violation of academic integrity will result in mark deduction or disciplinary action in accordance with UiTM’s academic regulations.

🧭 Task Overview

This week’s activity focuses on ethical principles and regulatory frameworks governing the financial industry.
Through this interactive Wordwall quiz, you will review and apply key concepts such as:

• The meaning and importance of ethics in financial services.

• The role of regulation in protecting investors and maintaining market integrity.

• Common ethical dilemmas and how to identify breaches of professional conduct.

• Key regulatory bodies and enforcement mechanisms in Malaysia.

• The connection between ethical behaviour and public confidence in financial markets.

This activity is designed as a gamified learning experience using Wordwall to enhance engagement and understanding.

📝 Instructions

1. Click the link below to access the quiz:
   https://wordwall.net/play/100346/628/869

2. Complete the quiz individually within the assigned week (Week 3).

3. Ensure all questions are answered before submission — late or incomplete attempts will not be graded.

4. The system will auto-mark your responses and show your score immediately upon completion.

5. Take a clear screenshot of your result page showing:

   • Your name, and

   • Your score/percentage obtained.

6. Upload the screenshot evidence to the Padlet space of your respective class as proof of completion.

7. Record your marks in the Mark Recording Spreadsheet provided by the lecturer.

8. You may only attempt once, unless the lecturer explicitly allows a reattempt.

   
   

⚠️ Academic Integrity

This is an individual task.
Any form of collaboration, discussion, or answer-sharing is strictly prohibited.
Violation of academic integrity will result in mark deduction or disciplinary action in accordance with UiTM’s academic regulations.

📌 Assigned: Friday, 31 October 2025
📌 Submission Deadline: Wednesday, 5 November 2025 (11.59 PM)
📌 Peer Review : Wednesday, 6 November 2025

🎯 Task Overview

Each student must design an infographic about the Securities Commission Malaysia (SC) based on Chapter 3: Regulatory Bodies in Malaysia.

Your infographic should visually present the roles, objectives, and functions of the SC in developing Malaysia’s capital market — and include one recent highlight or achievement from SC’s official website.

🧠 Learning Outcomes

By completing this task, students will be able to:

1. Explain the roles and functions of the Securities Commission Malaysia (SC).

2. Demonstrate understanding of the regulatory framework of the Malaysian capital market.

3. Communicate complex regulatory concepts through a creative visual format.

4. Connect theory to real-world practice through recent SC achievements.

   
   

📝 Task Instructions

1. Create a 1-page infographic (portrait or landscape) focusing on the Securities Commission Malaysia (SC).

2. Your infographic must include the following elements:
   ✅ SC logo
   ✅ Brief background of the SC
   ✅ SC’s mission and objectives
   ✅ SC’s key functions
   ✅ Roles of SC in ensuring a fair, efficient, and transparent capital market
   ✅ One recent highlight or achievement (see below)
   ✅ Official SC website link or QR code

3. Use Canva, Piktochart, or Visme (or any similar creative platform).

4. Ensure the infographic is accurate, concise, and visually appealing.

5. Submit your infographic in your respective class Padlet by Wednesday, 5 November 2025 (11.59 PM).

   
   

🔍 Recent Highlights from SC (Explore and Choose One)

Visit www.sc.com.my and choose one recent news or achievement to feature in your infographic. Examples include:

• Malaysia’s capital market reached RM4.2 trillion in 2024, marking record growth.

• Launch of the Young Regulators Development Programme (YRDP) with Durham University.

• SC’s enhanced digital asset framework, improving oversight of DAX operators and crypto custodians.

• Introduction of the Product Governance Framework to strengthen investor protection.

Include in your infographic:

• What the achievement is, and

• Why it matters to Malaysia’s financial market.

  
  

🤝 Peer Review (6 November 2025)

Each student will be randomly assigned two peers’ infographics to review.
This activity aims to reinforce learning through observation and constructive evaluation.

Each student must:
✅ Review two different infographics from classmates.
✅ Provide specific and respectful comments focusing on:

• Accuracy and clarity of content.

• Creativity and presentation of information.
  ✅ Post your feedback directly under each assigned infographic on Padlet by 6 November 2025 (11.59 PM).

The peer review process aims to promote learning through evaluation. By analysing and assessing classmates’ infographics, students will strengthen their understanding of the Securities Commission Malaysia (SC), improve their critical thinking, and recognise effective presentation techniques.

🧭 Instructions for Reviewers

1. Each student will be assigned two peers’ infographics to review on Wednesday, 6 November 2025.

2. Carefully read and evaluate each infographic before completing the review.

3. Use the provided checklist below to verify whether all key elements are present:

   • ✅ SC logo

   • ✅ Background information

   • ✅ Mission and objectives

   • ✅ Key functions

   • ✅ Roles in the capital market

   • ✅ Recent highlight or achievement

   • ✅ Website/QR code

   • ✅ Creativity and layout

4. After completing the checklist, assign an overall rating (1–5) to represent your evaluation of the infographic’s overall quality, accuracy, and creativity.

5. Provide constructive and respectful written feedback under the infographic post on Padlet, highlighting both strengths and suggestions for improvement.

6. All peer review scores must be recorded in the spreadsheet provided by the lecturer. Each reviewer is required to enter:

   • The overall score (1–5) for each infographic reviewed; and

   • Indicate completion of the checklist (Yes/No).

     
     

📊 Peer Review Scoring Scale

Rating (1–5)

Description

5 – Excellent Outstanding clarity, accuracy, and creativity. All checklist elements included.

4 – Good Well-presented and mostly accurate; only minor improvements needed.

3 – Average Covers main points but lacks detail, structure, or visual strength.

2 – Weak Several components missing or unclear; limited creativity.

1 – Poor Incomplete, inaccurate, or minimal effort displayed.

🧮 Mark Conversion

Each peer review contributes 1% to the overall task mark.
As each infographic will receive two peer reviews, the combined score will form the total of 2% (full task weight).

Example:
If Peer 1 gives a rating of 5 (1.00%) and Peer 2 gives 4 (0.80%),

the total mark = 1.80% / 2.00%.

🧠 Guidelines for Quality Feedback

• Be objective and respectful — focus on the content, not the person.

• Use academic language (e.g., “The infographic effectively highlights…”).

• Mention both strengths and areas for improvement.

• Support your comments with brief explanations or examples.

• Ensure your review is honest, fair, and evidence-based.

  
  

📋 Final Reminder

✅ Complete your checklist and rating in the spreadsheet provided by the lecturer.
✅ Post your written feedback under your assigned peers’ infographics on Padlet by Thursday, 7 November 2025 (11.59 PM).
✅ Failure to complete both the spreadsheet and Padlet feedback will result in a zero (0) for the peer review component.

2025141179

Instructions

• Develop a mind map illustrating key elements of Securities Law in Malaysia, focusing on the Securities Commission Act 1993 (SCA) and the Capital Markets and Services Act 2007 (CMSA).

• Ensure the mind map reflects clear organization, logical connections, and accurate legal content.

• You may use digital tools (e.g., Canva, MindMeister, Miro) or draw manually and upload a clear image.

• Submit your mind map in PDF or image format (JPEG/PNG) to Padlet by the deadline.

• Each student will conduct peer review for one classmate using the checklist provided.

• Peer scores will contribute to your participation marks under gamification points.

Peer Review

1. Each student is assigned one peer’s mind map to review.

2. Review the mind map carefully before completing the checklist.

3. Evaluate based on accuracy, structure, and creativity.

4. Assign an overall rating (1–5) that reflects overall quality.

5. Provide constructive written feedback under the Padlet post — highlight both strengths and areas for improvement.

6. Record your rating and checklist completion (Yes/No) in the spreadsheet provided by the lecturer.

7. Ensure both tasks (spreadsheet + Padlet feedback) are completed by Wednesday, 13 November 2025 (11.59 PM).

8. Incomplete peer reviews will receive 0 mark for this component.

Checklist: Key Elements

✅ Clear title: “Securities Law in Malaysia: SCA & CMSA”
✅ Includes both Acts (SCA & CMSA)
✅ States objectives/purposes of each Act
✅ Highlights SC’s powers, roles, and enforcement scope
✅ Shows connection between SCA and CMSA
✅ Includes one recent SC example or development
✅ Contains SC website link or QR code
✅ Logical and readable structure
✅ Creative and visually appealing design

To help you understand the key Acts and Regulations governing the securities industry in Malaysia through guided self-learning using ChatGPT.

🧩 Instructions

1. Open ChatGPT (https://chat.openai.com or use the app).

2. Copy and paste the following prompt into ChatGPT:

> “Explain to me the main laws governing the securities industry in Malaysia. Include the objectives and key features of each of the following Acts:

1. Securities Commission Malaysia Act 1993 (SCA)

2. Capital Markets and Services Act 2007 (CMSA)

3. Securities Industry (Central Depositories) Act 1991 (SICDA)

4. Companies Act 1965 (CA)

5. Financial Services Act 2013 (FSA)

6. Islamic Financial Services Act 2013 (IFSA)

7. Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA / AMLATFA)”

3. Continue exploring by asking ChatGPT follow-up questions such as:

“What is the role of the Securities Commission Malaysia under the SCA 1993?”

“How does the CMSA 2007 regulate capital market activities?”

“What is the function of Bursa Malaysia and the Central Depository under the SICDA 1991?”

“How are financial institutions regulated under the FSA and IFSA?”

“What are the main objectives of the AMLA 2001?”

4. Write a short reflection in your own words.

Three (3) Acts that you find most important and why.

5. Post your reflection in this Padlet under your name.

🕒 Deadline:

By the end of today’s class.

Financial Services Act 2013 (FSA) – this one keeps the financial system safe and protects people from bad practices by financial institutions.

Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA) – this law stops people from using Malaysia’s financial system for crime or terrorism, keeping it clean and trusted.

1. CMSA, Capital Markets and Services Act of 2007 - it controls trading, licensing, and disclosure, it serves as the foundation of the capital market. Without it, the market may be in disarray and investors would be subjected to unfair tactics.

2. SICDA, the Securities Industry (Central Depositories) Act of 1991 - The effective and safe management of securities depends on this statute. It guarantees transparency and lessens share ownership fraud by facilitating electronic trade and record-keeping.

3. AMLA, Anti-Money Laundering Act 2001 – Investor protection is meaningless if illicit money can enter the market. AMLA is vital to maintain market integrity and trust, preventing the capital market from being misused for illegal activities

1)       Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLATFA)

·       Prevents illegal activities such as money laundering and terrorism financing.

·       Requires banks / investment companies to verify clients’ identities, and report suspicious transactions.

·       Protect reputation and integrity of Malaysia’s financial market.

2)       Capital Markets and Services Act 2007 (CMSA)

·       Framework that governs Malaysia’s capital market.

·       Covers trading, investment, and corporate activities.

·       Protect investor from insider trading, fraud, and market manipulation.

3)       Securities Commission Malaysia Act 1993 (SCA)

·       Created Securities Commission Malaysia (SC)

·       Power to supervise, enforce, and develop Malaysia’s capital market.

·       Ensures that market participants operate fairly, honestly, and efficiently.

The SCA 1993 is crucial because it establishes the Securities Commission (SC), which regulates and supervises Malaysia’s capital market to ensure fairness and investor protection. The CMSA 2007 provides a strong legal framework for securities and derivatives, promoting transparency, ethical conduct, and confidence among investors. Meanwhile, the AMLA 2001 safeguards the financial system by preventing money laundering and terrorism financing, ensuring that markets operate with integrity.

Together, these Acts create a stable, transparent, and trustworthy financial environment that supports Malaysia’s economic growth and strengthens public confidence in the capital market.

The SCA is important because it created the Securities Commission, which makes sure our capital market runs fairly and protects investors.

The CMSA matters because it controls all the activities in the capital market, like trading and fund management. It also helps stop fraud and keeps everything transparent.

Lastly, I chose the AMLA because it helps prevent money laundering and terrorism financing. This law keeps our financial system clean and trustworthy.

Overall, I think these three Acts are really important to keep Malaysia’s financial market safe, fair, and well-managed.

Next, the Securities Commission Malaysia Act 1993 (SCA) is significant is that it established the Securities Commission, the primary regulatory agency for the capital market. The SC is empowered by this statute to oversee, control, and ensure that everyone abides by the regulations. Our capital market would not be adequately managed without it.

Finally, the Financial Services Act 2013 (FSA) is crucial. It is because it regulates banks, insurance firms, and other financial organizations. It contributes to the stability of the financial system and the protection of consumers. This law ensures the responsible and secure operations of financial institutions.

The SCA is one of the most important Acts because it establishes and empowers the Securities Commission Malaysia (SC) as the main regulator of the capital market. The SC make sure that Malaysia’s securities and derivatives markets operate in a fair, efficient, and transparent way. It also promotes investor protection and market integrity, which are essential to maintain confidence in the financial system. Without this act, there would be no central authority that oversee market activities and enforce compliance.

2. Capital Markets and Services Act 2007 (CMSA):

The CMSA is important because it provides the comprehensive legal framework for all activities in the capital market, including securities trading, fund management, and takeovers. It helps maintain order, transparency, and accountability among market participants. This act protects investors by regulating intermediaries and preventing market manipulation or insider trading, making it fundamental to the healthy growth of Malaysia’s financial market.

3. Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA):

The AMLA is crucial as it protect Malaysia’s financial system from being misused for illegal activities such as money laundering and terrorism financing. It promotes transparency, compliance, and international credibility by requiring financial institutions to report suspicious transactions and conduct due diligence. This Act is essential for maintaining the integrity and reputation of Malaysia’s financial sector globally.

The CMSA 2007 is the backbone of Malaysia’s capital market. It ensures investor protection and market integrity which are essential for public trust.

The IFSA 2013 reflects Malaysia’s leadership in Islamic finance and its emphasis on Shariah governance aligns with ethical and faith-based investing.

Lastly, AMLA 2001 is vital for safeguarding the financial system from abuse. It reinforces transparency and accountability which are values deeply care about in financial education and consumer protection.

Naxt is AMLA 2001 because it stops money laundering and terrorism financing. It makes financial institutions check and report suspicious transactions, which keeps the country safe.

Lastly, the IFSA 2013 is important as it ensures Islamic financial institutions follow Shariah rules. This helps build trust among customers who prefer Islamic banking.

The SCA 1993 is important in that it has formed the Securities Commission Malaysia, which is at the forefront of ensuring that the capital market functions fairly, efficiently and in a transparent manner. In the absence of this regulator, market players and investors would not be well regulated.

The CMSA 2007 is also important as it offers a broad structure to control all capital market operations such as security exchange, fund management as well as corporate takeovers. This Act will ensure accountability and will contribute to keeping investors confident because it is a key aspect of a stable and expanding economy.

Finally, the AMLA 2001 is significant as it protects the integrity of financial system, meaning that it provides protection against money laundering and financing terrorism operations. It sees that the financial institutions in Malaysia are run in a responsible manner, and meet the international standards.

- The SCA proves to be important, since it represents the main regulatory body of the capital market.

- It also gives the SC power to license, investigate, and supervise market participants to ensure transparency and protect investors.

- The SC also directs policy making and market innovation, shaping Malaysia's capital markets overall growth.

2. CAPITAL MARKET AND SERVICES 2007 (CMSA)

- The CMSA is the main operative legal principle such as key capital market activities like asset management, stock markets, and mergers or acquisitions.

- It also protects investors by requiring fair disclosure and punishing misconduct such as market manipulation.

- It provides a licensing framework for the intermediaries and ensures all capital market services meet regulatory standards.  

3. SECURITIES INDUSTRY CENTRAL DEPOSITORIES ACT 1991 (SICDA)

- SICDA established the Central Depository System (CDS), a method for electronic recording and transferring securities.

- This would replace physical share certificates by creating a secure, efficient, and modern electronic system to reduce fraud and settlement risk.

- The trading system on Bursa Malaysia would not function effectively without SICDA.

The three Acts I find most important are:

1. Capital Markets and Services Act 2007 (CMSA) – because it serves as the backbone of Malaysia’s capital market regulation, ensuring investor protection and market integrity.

2. Financial Services Act 2013 (FSA) – as it maintains the stability of the entire financial system and safeguards consumers’ interests in banks and insurance companies.

3. Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA) – because it protects the economy from illegal and terrorist financial activities, ensuring Malaysia’s reputation as a safe financial center.

These Acts together ensure that Malaysia’s financial and capital markets remain transparent, trustworthy, and stable, which is essential for economic growth and investor confidence.

Capital Markets and Services Act 2007 (CMSA) – Ensures transparency, investor protection, and fair trading in Malaysia’s capital markets, helping maintain market confidence.

Financial Services Act 2013 (FSA) – Safeguards the stability of the financial system by regulating banks and insurers, ensuring consumer protection and preventing systemic risks.

Anti-Money Laundering, Anti-Terrorism Financing Act 2001 (AMLA) – Protects national security and financial integrity by preventing the misuse of the financial system for criminal or terrorist activities.

1. Securities Commission Malaysia Act 1993 (SCMA)

   • Objective: Establish the SC to regulate and develop capital markets.

   • Key Features: Licensing, supervision of market intermediaries, investor protection, and promoting market integrity.

2. Capital Markets and Services Act 2007 (CMSA)

   • Objective: Regulate capital markets comprehensively.

   • Key Features: Issuance and trading of securities, regulation of intermediaries, investor protection, and market transparency.

3. Securities Industry (Central Depositories) Act 1991 (SICDA)

   • Objective: Facilitate secure clearing, settlement, and registration of securities.

   • Key Features: Central Depository System (CDS), electronic share registration, reduced transaction risk, supports Bursa Malaysia trading.

4. Companies Act 1965 (CA)

   • Objective: Regulate formation, management, and operations of companies.

   • Key Features: Corporate governance, disclosure, shareholder rights, and financial reporting.

5. Financial Services Act 2013 (FSA)

   • Objective: Regulate conventional banks and financial institutions.

   • Key Features: Licensing, prudential standards, financial stability, and consumer protection.

6. Islamic Financial Services Act 2013 (IFSA)

   • Objective: Regulate Islamic financial institutions and products.

   • Key Features: Shariah compliance, licensing, governance standards, and investor/policyholder protection.

7. Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA)

   • Objective: Prevent money laundering and terrorism financing.

   • Key Features: Customer due diligence, reporting requirements, and criminal sanctions.

Short Reflection

The CMSA 2007, SICDA 1991, and AMLA 2001 are the most important acts. CMSA ensures orderly and transparent capital markets; SICDA guarantees secure and efficient securities transactions; AMLA protects the financial system from abuse. Together, they maintain investor confidence and the integrity of Malaysia’s financial markets.

The three Acts I find most important are:

1. Capital markets and services act 2007 (CMSA) because it protects investors and makes sure companies follow the rules when raising or managing money.

2. Securities commission act 1993 (SCA) because the SC plays a key role in making sure the market is fair, transparent and safe for everyone.

3. Anti money laundering and anti terrorism financing act 2001 (AMLA) because it protects our financial system from being misused and keeps Malaysia economy stable and trustworthy.

Overall, this self learning activity helped me understand more fast and easily on how important these laws are in keeping our financial system secure and reliable.

1) CMSA 2007

This is the “core law” of capital market. It covers almost everything, securities, derivatives and licensing so it is super critical for investor protection.

2) SICDA 1991

Without CDS, we literally cannot buy shares on Bursa. Ownership records need to be clean & safe. So this is key for transparency + trust.

3) AMLA 2001

Prevents criminals from using financial system for illegal money. If this fails, even legit markets can collapse because nobody trusts the system.

Acts are the Securities

Commission Act 1993 (SCA), the Capital Markets and Services Act 2007 (CMSA), and the Anti-Money

Laundering Act 2001 (AMLA).

• Securities Commission Act 1993 (SCA)• Established the Securities Commission Malaysia (SC).

• Gave the SC authority to regulate and develop Malaysia’s capital markets.

• Ensures investor protection, market integrity, and fair practices.

• Capital Markets and Services Act 2007 (CMSA)• Consolidated and modernized laws relating to capital markets.

• Covers securities, derivatives, unit trusts, and fund management.

• Provides rules for licensing, disclosure, and enforcement against misconduct.

• Strengthens investor confidence by setting clear standards for market participants.

• Anti-Money Laundering Act 2001 (AMLA)• Targets money laundering and terrorism financing.

• Requires financial institutions to implement Know Your Customer (KYC) and reporting obligations.

• Empowers authorities to investigate and prosecute financial crimes.

• Protects Malaysia’s financial system from abuse and aligns with global standards.

In my opinion, the three most important acts are the Capital Markets and Services Act 2007 (CMSA), the Securities Commission Malaysia Act 1993 (SCA), and the Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA).

The CMSA is important since it builds the foundation for the way of operation of Malaysia's capital market. It promises transparency, secures investors, and retains confidence in the system. If it were absent, market activities such as trading, fundraising, and investment would have poor structure and trust.

The SCA is as important as it encourages the Securities Commission to manage and develop the market. It highlights fair practices, enforces laws, and assists the overall development of Malaysia’s financial sector, promising both stability and innovation.

Lastly, the AMLA plays an important part in securing the financial system from illegal activities. By preventing money laundering and terrorism financing, it secures the integrity of Malaysia’s economy and exposes international confidence in the country’s financial system.

When combined, these Acts make a strong legal framework that sustains fairness, transparency, and security in Malaysia’s financial environment.

Secondly, Securities Commission Malaysia Act (SCA), which gave life to the Securities Commission (SC). Think of the SC as the referee of the capital market it keeps an eye on everything, makes sure everyone plays fair, and steps in when someone breaks the rules. It is not just about policing, but the SC also helps the market grow by supporting new ideas and educating investors.

Thirdly, the Securities Industry (Central Depositories) Act (SICDA) takes care of the behind-the-scenes magic. Instead of using old-school paper share certificates, now store everything electronically through the Central Depository System (CDS), run by Bursa Malaysia. This makes buying and selling shares quicker, safer, and way more efficient. Together, these three laws keep the market clean, smart, and investor friendly.

Objectives: Regulate the formation, operation, and dissolution of companies in Malaysia.

Key Features: Requires companies to maintain proper accounts and records.

2. Financial Services Act 2013 (FSA)

Objectives: Regulate conventional banking and financial services.

Key Features: Covers licensing and supervision of banks, insurance companies, and payment systems.

3. Islamic Financial Services Act 2013 (IFSA)

Objectives: Regulate Islamic financial institutions.

Key Features: Licensing and regulation of Islamic banks, Takaful operators, and Islamic fund managers.

Role of the Securities Commission Malaysia under the SCA 1993.

Acts as the independent regulatory authority for Malaysia’s capital market.

How the CMSA 2007 regulates capital market activities.

Provides a legal framework for the capital market, covering securities, derivatives, fund management, and unit trusts.

Function of Bursa Malaysia and the Central Depository under SICDA 1991.

Bursa Malaysia: Operates a stock exchange, ensures transparent trading

Central Depository: Maintains electronic ownership records, settles securities efficiently

How financial institutions are regulated under FSA 2013 and IFSA 2013.

FSA: Regulates conventional banks & insurers, ensures stability & consumer protection

IFSA: Regulates Islamic finance, ensures Shariah compliance, governance & risk management

Main objectives of AMLA 2001.

Prevent money laundering & terrorism financing.

1.      Securities Commission Malaysia Act 1993

This act established Securities Commission, regulatory and development authority for Malaysia Capital Market. SC is important to regulate the market, protecting investors, ensured markets integrity, and develop the innovation for Malaysia capital market.

2.      Capital Market and Services Act 2007

This act is important to Malaysia capital market because it provide the regulatory framework for securities derivatives and fund raising. Furthermore, Capital Markets and Services Act guide and ensure the participants to follow regulatory provided across different types of capital market products. Other than that, licensing service and representatives also under this act for intermediaries to dealing in securities, fund management and corporate finance advising.

3.      Anti Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA)

AMLA is essential for country because counter measures action and defense against financial corruption and illegal activity. It’s important to ensure the money flow in capital market and economy is legal and clean also not being used for terrorism and crime activity.

1. Capital Markets and Services Act 2007 (CMSA)
   The CMSA is crucial because it creates a comprehensive regulatory framework that governs most capital market activities in Malaysia, including licensing and conduct requirements. Its ability to adapt to new financial innovations ensures ongoing investor protection and market integrity in a rapidly evolving industry.

2. Securities Commission Malaysia Act 1993 (SCA)
   This Act is fundamental as it establishes the Securities Commission Malaysia as the main authority overseeing capital market regulation, supervision, and development. The SC’s role in enforcing laws and nurturing market confidence is key to maintaining a stable, fair, and efficient securities market.

3. Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA)
   AMLA is vital because it combats financial crimes that threaten the integrity of the financial system. By mandating strict reporting and monitoring of suspicious activities, it helps prevent the use of Malaysia’s capital markets for illicit funds, protecting investors and the economy.

Next will be SICDA, since we do money transactions daily, so efficiency and safety are important.

Lastly, IFSA as a muslim, Shariah compliance in finance is needed to avoid haram.

This Act is the backbone of Malaysia’s capital market regulation. It ensures that securities trading is transparent and fair, protecting investors and maintaining market integrity.

2. Securities Commission Malaysia Act 1993 (SCA)

Without this Act, the Securities Commission wouldn’t exist. It provides the authority and structure needed to supervise, develop, and enforce all capital market activities effectively.

3. Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA)

This Act is crucial for maintaining trust in Malaysia’s financial system by preventing illegal money flows and ensuring the market is not used for criminal or terrorist purposes.

One essential law in ensuring that the entire financial system is stable is FSA. Economic growth requires stability and as a student, I find it as the basis of the industries we will be venturing into.

Lastly, one would need the Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA). It prevents entry of illegal money into the financial system and assists in maintaining a good reputation of Malaysia as a safe and transparent market. It is the type of legality that produces our confidence in applying our gaze to the future of the market.

The Securities Commission Malaysia Act 1993 is significant because it established the Securities Commission, which regulates and monitors the capital market to guarantee fairness, openness, and investor confidence. Without it, there would be no appropriate authority to monitor market activity.

The Capital Markets and Services Act of 2007 is also important since it oversees how securities and capital market services operate. It protects investors from fraud, insider trading, and other unethical actions, contributing to the integrity and credibility of Malaysia's financial system.

Finally, the Anti-Money Laundering and Anti-Terrorism Financing Act 2001 is critical to preventing illegal financial activity. It ensures that Malaysia's financial and capital markets are not utilised for illegal or terrorist activities, hence safeguarding the economy and maintaining international trust.

Overall, these three Acts are significant because they foster a secure, transparent, and ethical financial system in Malaysia.

This is because it develops and supervises Malaysia's capital market to safeguard investors and uphold market integrity. There won't be a central body in charge of securities regulation without it.

Capital Markets and Services Act 2007 (CMSA)
This is because it establishes the guidelines for licensing, behaviour, and enforcement in the capital market and is essential to guaranteeing transparency, equitable procedures, and investor trust.

Financial Services Act 2013 (FSA)
This is because it guarantees sound risk management, consumer protection, and financial stability. It is essential in keeping Malaysia's financial system resilient and trustworthy.

Three Most Important Acts and Why

1. Capital Markets and Services Act 2007 (CMSA)

   • Why: It directly regulates capital market activities, licensing intermediaries, and protecting investors, making it essential for the functioning of the market.

2. Securities Industry (Central Depositories) Act 1991 (SICDA)

   • Why: It enables electronic trading and efficient settlement of securities, which is fundamental for a modern, reliable, and transparent market.

3. Financial Services Act 2013 (FSA)

   • Why: It governs financial institutions, ensures financial stability, and protects consumers, which is crucial for maintaining trust in the banking and finance sector.

Reflection: Three Acts I Find Most Important

The Securities Commission Malaysia Act 1993 (SCA) is important because it establishes the Securities Commission (SC), which ensures that Malaysia’s capital market operates in a fair, transparent, and efficient manner. Without the SC’s oversight, investors’ confidence and market integrity could easily be compromised.

The Capital Markets and Services Act 2007 (CMSA) is also vital as it provides the legal framework for all capital market activities. It protects investors from insider trading and market manipulation, and ensures that companies provide accurate disclosures, which helps maintain trust in the financial system.

Lastly, the Anti-Money Laundering and Anti-Terrorism Financing Act 2001 (AMLA) is crucial in preventing the misuse of the financial system for illegal or terrorist purposes. It promotes accountability, transparency, and cooperation among financial institutions and regulators.

Overall, these three Acts work together to build a safe, credible, and well-regulated financial environment in Malaysia.

🧭 Task Overview

This week’s gamified quiz focuses on the legal and regulatory framework governing securities in Malaysia.
Students will test their understanding of statutory provisions, ethical obligations, and investor-protection principles under key legislations:

• Capital Markets and Services Act 2007 (CMSA 2007)

• Securities Commission Act 1993 (SCA 1993)

• Financial Services Act 2013 (FSA 2013)

  
  

The activity promotes applied learning through an interactive, competitive format that strengthens comprehension of market integrity, professional conduct, and enforcement mechanisms.

📝 Instructions

1. Access the Wordwall Live quiz using the link provided by the lecturer during Week 6.

2. Complete the challenge individually within the allocated time.

3. Read each question carefully and answer within 45 seconds.

4. Every participant begins with five lives.

5. Incorrect or late answers will deduct one life.

6. Correct answers = 100 points; Bonus Rounds = up to 200 points.

7. You may use one lifeline per question only:

   • 50:50 – Removes two incorrect options.

   • Double Score (x2) – Doubles points for that question.

   • Extra Time – Adds 15 seconds to the timer.

   • Cheat – Lets you view another player’s answer before deciding.

8. The game ends when all questions are answered or when you run out of lives.

9. Scores and lives will appear on the class scoreboard.

10. The participant with the highest final score will be crowned Champion.

11. Perfect Score Bonus: The first player to achieve 100% accuracy earns a special reward.

12. After completion, take a clear screenshot showing:

• Your name, and

• Your final score/percentage.

13. Upload the screenshot to your class Padlet space as proof of completion.

14. Record your mark in the Mark Recording Spreadsheet provided by the lecturer.

    
    

⚖️ References

• Capital Markets and Services Act 2007 (CMSA 2007)

• Securities Commission Act 1993 (SCA 1993)

• Financial Services Act 2013 (FSA 2013)

  
  

⚠️ Academic Integrity

This is an individual assessment.
Any form of collaboration, discussion, or answer-sharing is strictly prohibited.
Academic misconduct will result in mark deduction or disciplinary action in accordance with UiTM Academic Regulations.

🧭 Task Overview

This week’s activity focuses on understanding the enforcement framework and penalties imposed by the Securities Commission Malaysia (SC).
You will prepare an individual reflective podcast to demonstrate your understanding of how enforcement promotes ethical behaviour, market discipline, and investor confidence.

Your reflection must show a clear understanding of the four enforcement categories and their corresponding penalties, as shown in the SC enforcement chart provided by the lecturer:

1. Administrative Actions

2. Civil Actions & Regulatory Settlements

3. Criminal Prosecutions

4. Cases Compounded

   
   

Through this podcast, you are expected to explain why SC enforcement is necessary, what penalties are imposed, and what ethical lessons financial professionals can learn from these actions.

📝 Instructions

1. Record a podcast using Podbean with a maximum duration of 7 minutes (shorter recordings are encouraged if they are clear and impactful).

2. Your podcast must include:

   • A clear introduction with your name and student ID.

   • A brief explanation of why the SC enforces financial laws in Malaysia.

   • Discussion of at least two enforcement categories of your choice (e.g., Administrative & Civil, Civil & Criminal, etc.).

   • Accurate explanation of offences and penalties under those categories (e.g., reprimand, restitution, fines, imprisonment, compounding).

   • A personal reflection on what these penalties teach about ethics, accountability, and compliance.

3. Ensure your content is accurate, structured, and in your own words.

4. Use a clear, confident, and professional tone. You may speak in English or a mix of English and Malay if needed for clarity.

5. After publishing your podcast on Podbean, copy your podcast link.

6. Submit your Podbean link in the Mark Recording Spreadsheet provided by the lecturer.

7. Submission deadline: 2 December 2025 (Tuesday, Week 8).

8. Please refer to the rubric in the spreadsheet before starting the task to understand the assessment criteria and expected performance standards.

9. Late submissions will not be graded.

   
   

⚖️ References

• Capital Markets and Services Act 2007 (CMSA 2007)

• Securities Commission Act 1993 (SCA 1993)

• Financial Services Act 2013 (FSA 2013)

• Securities Commission Malaysia – Enforcement Section (Common Offences and Penalties)

  
  

⚠️ Academic Integrity

This is an individual reflective task.
All narration, interpretation, and explanation must be your own original work.
Use of AI-generated narration, plagiarism, or copying others’ content is strictly prohibited.
Violations will result in mark deduction or disciplinary action in accordance with UiTM Academic Regulations.

Assessment Type: Reflective Podcast
Platform: PODBEAN
Weightage: 5% (Individual Assignment – 30%)
Marking Method: Assessed by lecturer using rubric checklist

🧭 Task Overview

This week’s activity focuses on understanding the types of breaches actively investigated by the Securities Commission Malaysia (SC), based on Chart 1 from the SC Annual Report 2023.

You will prepare an individual reflective podcast to demonstrate your understanding of how these breaches occur, why they matter, and how they relate to the Capital Markets and Services Act 2007 (CMSA 2007).

Your reflection must show a clear understanding of the nine breach categories, as shown in the SC investigation chart provided by the lecturer:

• Corporate Misconduct

• Insider Trading

• Securities Fraud

• Market Manipulation

• Disclosure Breaches

• Unlicensed Activities

• Money Laundering

• Obstruction of Investigation

• Other Related Breaches

Through this podcast, you are expected to explain why these breaches are harmful to the market, what legal provisions are involved, and what ethical lessons future financial professionals should learn.

📝 Instructions

🎧 Record a podcast using Podbean with a maximum duration of 7 minutes

Your podcast must include:

✔️ A clear introduction with your name and student ID.

✔️ A brief explanation of why the SC investigates and monitors breaches in Malaysia’s capital market.

✔️ A discussion of breach categories:

• Corporate Misconduct

• Insider Trading

• Securities Fraud

• Market Manipulation

• Disclosure Breaches

• Unlicensed Activities

• Money Laundering

• Obstruction

• Other emerging breaches (e.g., crypto, ESG fraud)

  
  

✔️ An accurate explanation of the offences and relevant legal sections

(e.g., CMSA Section 188 for insider trading, Section 176 for manipulation, Section 369 for disclosure breaches)

✔️ A personal reflection on:

• what these breaches reveal about ethics,

• the importance of compliance,

• the responsibility of financial professionals to maintain integrity.

✔️ Ensure your content is accurate, structured, and in your own words.

✔️ Use a clear, confident, and professional tone.

You may speak in English or a mix of English and Malay if needed for clarity.

📤 Submission Steps

After publishing your podcast on Podbean:

1. Copy your podcast link

2. Submit your link in the Mark Recording Spreadsheet provided by the lecturer

3. Submission deadline: 10 December 2025 (Tuesday, Week 9)

4. Late submissions will not be graded

   
   

⚖️ References

You may refer to:

• Capital Markets and Services Act 2007 (CMSA 2007)

• Securities Commission Act 1993 (SCA 1993)

• Financial Services Act 2013 (FSA 2013)

• Securities Commission Malaysia – Investigation Sections

• SC Annual Report 2023 – Chart 1 (Types of Active Investigation Cases)

  
  

⚠️ Academic Integrity

This is an individual reflective task.
All narration, interpretation, and explanation must be your own original work.
Use of AI-generated narration, plagiarism, or copying others’ content is strictly prohibited.
Violations will result in mark deduction or disciplinary action under UiTM Academic Regulations.

Assessment Type: Reflective Podcast
Platform: PODBEAN
Weightage: 5% (Individual Assignment – 30%)
Marking Method: Assessed using rubric checklist

🧭 Task Overview

This week’s activity requires you to analyse real enforcement cases investigated by the Securities Commission Malaysia (SC).
You must select three cases only, taken from:

• SC Annual Report 2024, and/or

• SC’s official website: Enforcement Actions & Media Releases (latest updates)

  
  

Your three cases must fall under any of the following breach categories:

• Market Manipulation

• Misleading Disclosures / False Statements

• Unlicensed Activities

(please choose only 1 category)

Your task is to prepare an individual reflective podcast summarising these cases and explaining why enforcement is essential in protecting investors and ensuring market integrity.

📝 Instructions

🎧 Record a podcast using Podbean (maximum duration: 7 minutes)

Your podcast must include:

✔️ 1. Introduction

• Full name and student ID

• A clear opening statement highlighting the theme of enforcement

  
  

✔️ 2. Why the SC Enforces the Law

Provide a brief explanation of the purpose of enforcement in Malaysia’s capital market, such as:

• protecting investors,

• maintaining transparency,

• preventing misconduct,

• sustaining confidence in the financial system.

  
  

✔️ 3. Summary of SC Cases (2024 & Website Updates)

Select any 1 enforcement cases from the required sources.

For that case, you must include:

• Case overview (what happened)

• Breach category (Market Manipulation / Misleading Disclosures / Unlicensed Activities)

• Relevant legal provision (e.g., CMSA 2007 sections)

• SC enforcement action taken

(You must identify the key issues and insights on your own. No examples are provided.)

✔️ 4. Reflection

Provide a personal reflection by addressing:

• what these cases reveal about ethics and professional behaviour,

• the importance of compliance in finance,

• the responsibility of future financial professionals to uphold integrity.

Your reflection must be thoughtful and written in your own words.

✔️ 5. Professional Delivery

• Use a clear, confident tone

• Ensure logical structure

• Avoid reading word-for-word; speak naturally

  
  

📤 Submission Steps

1. Publish your podcast on Podbean

2. Copy your podcast link

3. Submit your link in the Mark Recording Spreadsheet

4. 📅 Deadline: 17 December 2025 (Tuesday, Week 10)

5. ⛔ Late submissions will not be graded

⚖️ References

You may refer to:

• SC Annual Report 2024 – Enforcement Section

• SC Official Website → Enforcement Actions / Press Releases

• Capital Markets and Services Act 2007 (CMSA 2007)

  
  

⚠️ Academic Integrity

This is an individual reflective assignment.
All narration, case summaries, and reflections must be your own original work.
AI-generated voice narration, plagiarism, or copying other students’ content is strictly prohibited.

🎯 Weightage: 2% (TikTok + Peer Review)

🗓️ Timeline

📌 Assigned: Friday, 19 December 2025
📌 Submission Deadline: Wednesday, 31 December 2025 (11.59 PM)
📌 Peer Review Deadline: Thursday, 1 January 2026 (11.59 PM)

🎯 Task Objective

This task evaluates students’ ability to communicate international securities regulation clearly and effectively by explaining why IOSCO membership is important to the Securities Commission Malaysia (SC).

🎥 Task Instructions (TikTok Video)

1. Create a TikTok video (maximum 60 seconds) answering:

   
   

   “Why is the Securities Commission Malaysia (SC) a member of IOSCO, and what are the benefits of this membership?”

   
   

2. Your face must be clearly visible throughout the video.
   Slides-only, voice-over-only, or AI avatars are not allowed.

   
   

3. The video must clearly explain:

   • What IOSCO is

   • Why SC Malaysia is a member of IOSCO

   • At least five (5) benefits of IOSCO membership to SC Malaysia

     
     

4. The explanation must be accurate, well-structured, and suitable for public education.

   
   

📲 Submission Requirements

1. Upload the video to your own TikTok account (Public).

2. Use all mandatory hashtags:

   #IOSCO
   #SecuritiesCommissionMalaysia
   #SecuritiesLaw
   #INV537
   #UiTM
   

3. Submit the TikTok video link to Spreadsheet by the deadline.

   
   

👥 Peer Review (Checklist-Based Only)

Each student will review one (1) assigned peer’s video using the checklist below.

⚠️ Incomplete peer review = 0 mark for this component.

Assessment Checklist (Tick ✔ Only)

📌 Content & Accuracy

☐ Clearly explains what IOSCO is
☐ Clearly explains why Securities Commission Malaysia (SC) is a member of IOSCO
☐ Explains at least FIVE (5) benefits of IOSCO membership to SC
☐ Uses correct securities law / regulatory terminology
☐ Information is accurate and relevant

🎤 Delivery & Presentation

☐ Student’s face visible throughout the video
☐ Clear voice and confident delivery
☐ Explanation is well-structured and easy to understand
☐ Video duration within 60 seconds

🎨 Creativity & Public Engagement

☐ Creative and engaging presentation
☐ Content suitable for public education

❤️ TikTok Likes (Engagement)

☐ 50 likes and above → 5
☐ 30–49 likes → 4
☐ 10–29 likes → 3
☐ Below 10 likes → 2
☐ 0–1 like → 1

📲 Compliance

☐ TikTok video set to Public
☐ All required hashtags used
☐ TikTok link accessible on Spreadsheet

📌 Important Notes

• Academic accuracy overrides popularity. Incorrect content will be penalised regardless of likes.

• Videos exceeding 60 seconds may receive reduced marks.

• Artificial engagement (buying likes) results in zero mark.

  
  

⚠️ Academic Integrity

This is an individual assessment.
Any form of collaboration, discussion, or answer-sharing is strictly prohibited.
Academic misconduct will result in mark deduction or disciplinary action in accordance with UiTM Academic Regulations.

Hi Students,

Please watch the video for Chapter 7 and make sure you understand the material. We have a gameshow on this topic scheduled for this coming Friday, so it's important to be prepared!

If you need any assistance or have questions while reviewing the video, feel free to drop your questions below in the chat box. I'm here to help!

Good luck and have fun!

Best,

Miss Nurul

🧭 Task Overview

This week’s activity focuses on Securities Listing in Malaysia governing the financial industry.

This activity is designed as a gamified learning experience using Wordwall to enhance engagement and understanding.

📝 Instructions

1. Click the link below to access the quiz:
   https://wordwall.net/play/84433/884/422

2. Complete the quiz individually within the assigned week (Week 11).

3. Ensure all questions are answered before submission — late or incomplete attempts will not be graded.

4. The system will auto-mark your responses and show your score immediately upon completion.

5. Take a clear screenshot of your result page showing:

   • Your name, and

   • Your score/percentage obtained.

6. Upload the screenshot evidence to the Padlet space of your respective class as proof of completion.

7. Record your marks in the Mark Recording Spreadsheet provided by the lecturer.

8. You may allows a reattempt.

   
   

⚠️ Academic Integrity

This is an individual task.
Any form of collaboration, discussion, or answer-sharing is strictly prohibited.
Violation of academic integrity will result in mark deduction or disciplinary action in accordance with UiTM’s academic regulations.

Platform: Zoom/Team

Weightage: 3% (Individual Assignment – 30%)

Marking Method: Assessed by friend using rubric checklist (Group review)

🧭 Task Overview

This week’s activity focuses on understanding the trading system in secondary market.

You will prepare an meeting video discussing the trading system in secondary market.

📝 Instructions

✅ Combine 2 group for meeting online (max of 10 students).

🎧 Record a meeting conducted using Zoom/Teams with a maximum duration of 15 minutes (refer to last minute meeting)

Your webinar must include:

✔️ A clear introduction with your name and position role in video clearly.

✔️ A progress of the previous issue stated in the previous minutes meeting

✔️ A discussion on the current issues that happend

✔️ There will be 10 roles in the webinar session consist of:

* Director

* Moderator

* Panelist from legal department (Advises on legal issues related to securities trading and market conduct.)

* Panelist from IT department (Technical operations )

* Panelist from IT department (System support)

* Panelist from financial department (Oversees settlement, manages financial risk, monitors trading transactions, and ensures accurate financial reporting in the secondary market)

* Representative from Marketing Department (Updated on company marketing strategy)

* Representative from HR Department (Report on issue of the company recruitment)

• Minute Takers

• Rapportues (Summarize key discussion)

✔️ Ensure your content is accurate, structured, and in your own words.

✔️ Use a clear, confident, and professional tone.

📤 Submission Steps

After publishing your webinar through youtube:

1. Copy your youtube link

2. Submit your link in the Mark Recording Spreadsheet provided by the lecturer

3. Submission deadline: 15 January 2026 (Thursday, Week 13)

4. Late submissions will not be graded

⚠️ Academic Integrity

All narration, interpretation, and explanation must be your own original work. Use of AI-generated narration, plagiarism, or copying others’ content is strictly prohibited. Violations will result in mark deduction or disciplinary action under UiTM Academic Regulations

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