Page 190 - SC Annual Report 2018 (ENG)

Securities
Commission
Malaysia
ANNUAL
REPORT
2018

Table 4
Application for new representatives’ licences
Regulated Dealing in Dealing in Fund Advising on Investment Financial
corporate
activities securities derivatives management finance advice planning

2018 2017 2018 2017 2018 2017 2018 2017 2018 2017 2018 2017
Issued 317 261 40 68 100 107 128 150 52 68 168 138
Withdrawn* 43 40 9 14 83 53 23 43 7 13 77 114
Returned* 145 138 20 44 84 92 54 64 24 33 128 94

Note:
* By regulated activities

Table 5
cessation of company/individual licences
Regulated Dealing in Dealing in Fund Advising on Investment Financial Financial
planning
corporate
activities securities derivatives management finance advice planning (Individual)
2018 2017 2018 2017 2018 2017 2018 2017 2018 2017 2018 2017 2018 2017

Ceased - - - - - 1 1 1 - - - - - 1
Revoked - - - - - - - - - - - - - -

Suspended - - - - - - - - - - - - - -

Table 6
cessation of representatives’ licences

Regulated Dealing in Dealing in Fund Advising on Investment Financial
corporate
activities securities derivatives management finance advice planning
2018 2017 2018 2017 2018 2017 2018 2017 2018 2017 2018 2017

Ceased* 453 529 88 131 97 105 135 144 39 46 47 50
Revoked 2 8 - - - - 1 - - 1 - -

Suspended - - - - - - - - - - - -

Note:
* By regulated activities

180 | PART 5 »» STATEMENTS, STATiSTiCS ANd ACTiviTiES

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