SCHEDULE 1 [Subsection 32A(1)] (SECURITIES COMMISSION ACT 1993

ACT 498
SECURITIES COMMISSION ACT 1993

SCHEDULE 1 [Subsection 32A(1)]

[Am. Act A1074:s.45]

Classes Or Categories Of Securities, Or Classes Or Categories Of Transactions Not Subject To Subsection 32(4).

1. The issuance of securities by or guaranteed by the Federal or any State Government or the Central Bank of Malaysia

[Am. Act A1074:s.45]

2. Securities of a private company other than debentures.

[Am. Act A1074:s.45]

3. Bonus issues of securities of a corporation.

[Am. Act A1074:s.45; Am. Act A1217:s.13]

4. All trades in securities effected in the money market.

[Subs. Act A1074:s.45]

5. Making available or creation of, or issuance or execution of-

(a)

any instrument acknowledging or creating indebtedness for, or for money borrowed to defray, the consideration payable under a contract for the supply of goods or services;

(b)

cheques or other bills of' exchange, a banker's draft or a letter of credit; or

(c)

a banknote, a statement showing a balance in a current, deposit or savings account, or (by reason of any financial obligation contained in it) a charge or other disposition of property, or an insurance policy.

6. All trades in securities effected on a stock market of a stock exchange which is approved by the Minister pursuant to subsection 8(2) of the Securities Industry Act 1983 or such other exchange outside Malaysia which is recognized under the rules of an exchange approved by the Minister pursuant to subsection 8(2) of the Securities Industry Act 1983;

[Am. P.U.(A) 343/2005]

7. An offer or invitation enter into an underwriting agreement or is made or issued to an underwriter under such an underwriting agreement.

8. An issue or allotment of securities to an underwriter under an underwriting agreement.

9. An offer or invitation with respect to securities of a corporation which is not listed made to existing members or debenture holders of such corporation by means of a rights issue and is not an offer to which section 46 applies.

[Am. Act A1074:s.45]

10. The making available, offering for subscription or purchase of or issuing an invitation to subscribe for or purchase, securities of a corporation to existing members of a company within the meaning of section 270 of the Companies Act 1965.

[Am. Act A1074:s.45]

11. Issuance or allotment of securities by a corporation pursuant to the exercise of a warrant, convertible note, option or transferable subscription right, in respect of which the Commission has given its prior approval under subsection 32(4).

[Am. Act A1074:s.45]

12. An offer or invitation with respect to the existing securities of an unlisted corporation made to existing holders of those securities or made to a person falling within paragraph 9, 10 or 11 of Schedule 2;

[Ins. Act A1074:s.45; Subs. Act A1217:s.13 ;Am. P.U.(A) 343/2005]

13. The making available of, offering for subscription or purchase of, or making an invitation to subscribe for or purchase, securities of a corporation pursuant to an employee share or employee share option scheme.

[Ins. Act A1074:s.45; Am. Act A1217:s.13]

14. The listing of securities that are issued by way of bonus issue.

[Ins. Act A1074:s.45; Am. Act A1217:s.13]

15. The issuance of notes pursuant to a notes issuance facility or revolving underwriting facility as may be specified by the Commission.

[Ins. Act A926:s.19, ; Ins. Act A1074:s.45]

16. All trades in foreign currency denominated debentures and Islamic securities effected as may be specified by the Commission.

[Ins. P.U.(A) 343/2005]