MIE-1.2.1
Past version: Effective from 11 Nov 2010 to 30 Jun 2021
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As part of the market surveillance function, the CBB may exercise its powers under Part 7 and Part 9 of the CBB Law for obtaining information, data, documents and explanations from:
(a) Self-Regulatory Organizations (SRO s), including licensed exchanges, licensed clearing houses and depositories, and related parties;
(b) Capital market service providers and members of SROs and related parties;
(c) Listed companies and issuers of securities ;
(d) Any other person who is in the possession of information or documents relevant for the purpose of conducting specific preliminary investigations by the CBB.