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MIE-2.1.2

Past version: Effective from 11 Nov 2010 to 30 Jun 2021
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When necessary, the CMSD may appoint one or more qualified investigators to conduct an investigation with respect to the following, in accordance with Chapter 1 of Part 9 (Articles 121-124) of the CBB Law:

(a) Nature or position of the business of an SRO, or a member of an SRO or capital market service provider;
(b) A particular aspect of the businesses of an SRO, or a member of an SRO or capital market service provider;
(c) The ownership or control of an SRO, or a member of an SRO or capital market service provider;
(d) Whether the SRO, or a member of an SRO or capital market service provider is practicing the very business licensed thereto, and assessing to what extent the SRO, or a member of an SRO or capital market service provider is abiding, in providing the said business, by the provisions of the law and the terms and conditions of the licence.
(e) Whether an SRO, or a member of an SRO or capital market service provider is carrying out unlicensed business;
(f) Whether the listed companies are abiding by the procedures and principles of listing referred to in paragraph (c) of Article (86) of the CBB Law.

The investigator may conduct an investigation, where necessary, on the business of any member of a group or company to which the SRO, or a member of an SRO, or capital market service provider under investigation is a party. The SRO, or a member of an SRO or capital market service provider under investigation must be notified in writing of the decision to investigate its business.