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  • Responsibility of SROs

    • OFS-A.2.3

      The licensed exchange or the licensed market operator established as an SRO must comply with the requirements laid down under the CBB Law, this Module and other applicable laws and regulations.

      January 2014

    • OFS-A.2.4

      As an SRO, the main objective of the exchange or the operator would be to:

      (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.
      January 2014