Versions

 

MAM-A.4.4

As an SRO, the main objective of the exchange or the operator or the clearing house or depository should include steps to:

(a) Promote fairness and investor protection;
(b) Promote fair access to market facilities and information;
(c) Promote the provision of timely and accessible relevant market data;
(d) Promote the efficient regulation of its members;
(e) Develop rules that are designed to set standards of behaviour for its members and to promote investor protection;
(f) Take disciplinary actions for contraventions by markets and listed companies through an SRO's Disciplinary Action Committee(s);
(g) Identify unlawful transactions and take preventative actions;
(h) Maintain fairness of price discovery mechanism and ensure prices are determined by the genuine forces of demand and supply;
(i) Monitor the trading and market on a continuous basis;
(j) Report any suspected transactions or suspected market behaviour or suspected cases of market abuse or market manipulation.
November 2010