Page 114 - CMP3

4.2 PRIORITISING EFFICIENCY AND OUTCOMES
4.2.1 ENHANCING FOCUS ON PROTECTING INVESTORS AGAINST VULNERABILITIES
a. Elevate supervisory and enforcement focus on misconduct relating to vulnerable investors, particularly senior investors.
b. Collaborate with industry to identify investor vulnerabilities and best practices to protect vulnerable investors.
c. Strengthen investor outreach programmes for vulnerable investors.
4.2.2 REVIEWING THE REGULATORY ARCHITECTURE FOR THE CAPITAL MARKET
a. Conduct joint study with BNM to enhance the regulatory structure for the financial market.
b. Review licensing and registration framework in tandem with the review of regulatory
architecture.
4.2.3 ENHANCING SUPERVISORY EFFICIENCY AND EFFICACY
a. Expand supervisory coverage across the industry as well as strengthen capabilities on emerging risks arising from SRI and innovation.
b. Issue governance standards for capital market participants and enhance supervisory focus on culture and conduct.
c. Expand the SC and AOB’s SupTech capabilities to enhance supervisory efficiency.
4.2.4 ENABLING SWIFT, EFFECTIVE AND TARGETED ENFORCEMENT
a. Institutionalise annual identification of the SC and AOB’s enforcement priorities, in alignment with the broader priorities of the SC.
b. Allocate resources more effectively, in alignment with the SC’s enforcement strategy.
c. Enhance the efficiency of enforcement triage and investigation, including through the
exploration of new enforcement tools and use of advanced analytics.
d. Enhance digital enforcement capabilities, including in digital forensics.
e. Enhance communications on enforcement priorities, strategies and outcomes.
112 SECURITIES COMMISSION MALAYSIA