(a) To maximise the regulatory effectiveness;

(b) To permit flexibility to the SRO's in their functioning;

(c) To achieve greater efficiency and transparency in the enforcement of the laws, rules and regulations;

(d) To minimise the regulatory cost; and

(e) To enforce the requirements related to the market conduct and good practices.

(a) Regulatory supervision;

(b) Maintaining and promoting fairness, efficiency and transparency within the capital market and securities businesses;

(c) Acting as an enforcement agency with powers to investigate and take administrative, civil or criminal actions as it may deem appropriate;

(d) Approving the business rules and by-laws of the SRO's whereby any changes in such business rules and by-laws would need prior approval of CBB; and

(e) Licensing, supervision, inspection, investigation and enforcement on the SRO's and their members.

(a) Fairness and investor protection;

(b) Fair access to their systems, facilities and information;

(c) The provision of timely and accessible relevant information and data; and

(d) The efficient regulation of their members, including classification of its membership and requirements for each class or category of membership.

(a) Handling and execution of the investors or clients' orders or transactions in accordance with the CBB Law, rules and regulations, as well as with the business rules of the licensed exchange;

(b) Clearing, settling and depositing of investors or clients' securities in accordance with the licensed clearing house business rules;

(c) Handling and the protection of their client's securities, assets and money, in accordance with the applicable laws, rules and regulation and this Module;

(d) Providing efficient and cost effective services to their clients and enhancing the public investors' confidence in the market; and

(e) Providing any regulated activities undertaken by them in line with the industry standards and best international practices.