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MIE-A.4.1

Past version: Effective from 11 Nov 2010 to 30 Jun 2021
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While dealing with cases relating to contravention of the CBB Law, rules and regulations, or other applicable laws, rules and regulations, a clear division of responsibilities between the CBB as the securities regulator and the licensed exchanges or the licensed market operators as a self-regulatory organization (SRO) is required:

(a) To achieve greater efficiency and transparency in the enforcement of the laws, rules and regulations;
(b) To maximise the regulatory effectiveness;
(c) To permit flexibility to the licensed exchanges or the licensed market operators in their functioning;
(d) To minimise the regulatory cost; and
(e) To maintain market integrity and investor confidence.