REGULATORY ACTIVITIES

Establishing Accounting and Auditing Standards

Comparability and dependability of financial information are crucial to informed decision making. The goal of general-purpose financial documentation is to supply information about the financial status, outcome of operations, cash flow and movements in the ownership equity of an enterprise that is useful to a wide range of users for decision-making purposes.

Regulatory Inspections and Enforcement

Administration of market intermediaries’ management and operations through investigation and surveillance helps ensure the preservation of high standards and the safeguard of investors. These preventative strategies are a required complement to inspections and enforcement activities.

Large Exposures, Default Procedures and Market Disruptions

Large exposure is based to an open position that is adequately huge to pretense a risk to the market or to a clearing firm. The Department of Compliance and Securities Division thoroughly tracks large exposures and distribute information with one another so as to allow appropriate examination of risk.