• MIE-1.5 MIE-1.5 Information from Listed Companies and Issuers of Securities

    • MIE-1.5.1

      As per Article 112 of the CBB Law, the CBB may require any listed company or issuer of securities, or any person acting on their behalf, to provide such information as the CBB deems necessary for discharging its duties and responsibilities under this Law.

    • MIE-1.5.2

      Without prejudice to the generality of paragraph MIE-1.5.1, the CBB may, in addition to using reports, notifications, announcements, annual reports, reports, communications, records, data and explanations received from any listed company or issuer of securities, also use methods mentioned in paragraph MIE-1.5.3 for obtaining information in addition to the usual methods of obtaining information from listed companies and issuers of securities.

    • MIE-1.5.3

      The methods of obtaining information referred to in paragraph MIE-1.5.2 which may be used by the CBB to obtain information from listed companies and issuers of securities include, but are not limited to:

      (a) Formal Request for Information
      The CBB may require any listed company or issuer of securities to provide such information as the CBB deems necessary within the time specified by the CBB.
      (b) Inspection
      The CBB may conduct an inspection and use the information obtained through such inspection in discharging its supervisory responsibilities.
      (c) Additional Responsibilities to Auditors
      As per Article 63 of the CBB Law, the CBB may request from the external auditors of a listed company or issuer of securities to increase the scope of audit and provide additional information to the CBB, and the information and reports provided by the external auditors can be used by the CBB.
      (d) Notifications, Registrations, Filings and other Communications
      The CBB may also use any information contained in any of the notifications, registrations, filings and other communications received from listed companies and issuers of securities and related parties for the purpose of discharging its supervisory duties.
      (e) Meetings
      The CBB may convene a meeting with any issuer or listed company for the purpose of discussing matters relating to the market surveillance, investigation and enforcement functions of the CBB.
      (f) Periodic Reports
      The CBB may use the periodic and other reports submitted by the listed companies and issuers for the purpose of the CBB's market surveillance, investigation and enforcement functions.
      Amended: July 2021