MIE-1.5.3
Past version: Effective from 11 Nov 2010 to 30 Jun 2021
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The methods of obtaining information referred to in paragraph MIE-1.5.2 which may be used by the CBB to obtain information from listed companies and issuers of
(a) Formal Request for Information
The CBB may require any listed company or issuer ofsecurities to provide such information as the CBB deems necessary, for the purpose of the CBB's market surveillance function within the time specified by the CBB.
The CBB may require any listed company or issuer of
(b) Inspection
The CBB may conduct aninspection as per the Inspection Module and use the information obtained through such inspection for the purpose of the CBB's market surveillance function.
The CBB may conduct an
(c) Additional Responsibilities to Auditors
As per Article 63 of the CBB Law, the CBB may request from the external auditors of a listed company or issuer ofsecurities to increase the scope of audit and provide additional information to the CBB, and the information and reports provided by the external auditors can be used by the CBB for the CBB's market surveillance function.
As per Article 63 of the CBB Law, the CBB may request from the external auditors of a listed company or issuer of
(d) Notifications, Registrations, Filings and other Communications
The CBB may use any information contained in any of the notifications, registrations, filings and other communications received from listed companies and issuers ofsecurities and related parties for the purpose of the market surveillance function.
The CBB may use any information contained in any of the notifications, registrations, filings and other communications received from listed companies and issuers of
(e) Meetings
The CBB may convene a meeting with any issuer or listed company for the purpose of discussing matters relating to the market surveillance function of the CBB.
The CBB may convene a meeting with any issuer or listed company for the purpose of discussing matters relating to the market surveillance function of the CBB.
(f) Periodic Reports
The CBB may use the periodic and other reports submitted by the listed companies and issuers for the purpose of the CBB's market surveillance function.
The CBB may use the periodic and other reports submitted by the listed companies and issuers for the purpose of the CBB's market surveillance function.