(a) To maximise the regulatory effectiveness;

(b) To permit flexibility to the licensed exchanges or the licensed market operators in their functioning;

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

(d) To minimise the regulatory cost.

(a) Regulatory supervision;

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

(c) Enhancing the efficiency of the capital-raising process;

(d) Ensuring full, timely and accurate disclosure of financial and other information material to investors;

(e) Ensuring fair and equal treatment to all securities, subscribers, allottees, and holders;

(f) Ensuring adherence to international accounting, reporting and auditing standards;

(g) Ensuring that the issuer of securities, the licensed exchanges, licensed market operators, licensed clearing houses, depositories' institutions, and other capital market advisory services providers and members of SROs have appropriate systems and procedures for ensuring compliance with the CBB Law and disclosure requirements by listed companies and issuers; and

(h) Facilitating the introduction of a broad range of capital market products and services.

(a) Promote fairness and investor protection;

(b) Ensure fair access to market facilities and information;

(c) Provide timely and accessible relevant market data;

(d) Ensure the efficient regulation of its members;

(e) Ensure compliance with CBB Law, listing rules and disclosure requirements by listed companies and issuers;

(f) Ensure immediate dissemination and publication of relevant information related to issuers;

(g) Report any non-compliance to the regulator; and

(h) Take disciplinary action against any contravention by listed companies.

(a) Adhere to the CBB Law, rules and regulations and any other applicable laws, rules and regulations;

(b) Ensure and accept responsibility for the information contained in the prospectus or other offering documents and that these documents do not contain any false or misleading information or data and omissions likely to affect the importance and completeness of the prospectus, or offering documents;

(c) Ensure fair and equal treatment of all subscribers, allottees and holders of each type of securities issued by it;

(d) Use an effective and efficient mechanism for capital raising for financing their businesses or any expansions thereof;

(e) Using the most professional capital market advisory services provider; and

(f) Ensure adherence of all capital market advisory services providers involved to all requirements regarding protecting and maintaining the subscribers money, in accordance with the applicable laws, rules and regulations.