MIE-1 Market Surveillance
- MIE-1.1 Market Surveillance
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MIE-1.2 Information Gathering for Market Surveillance
- MIE-1.2.1
- Type of Information
- Acquisition and Disposal of Securities or Futures Contract
- Exercise of Certain Powers in Relation to Securities
- Exercise of Certain Powers in Relation to Futures Contracts
- Self-Incrimination
- Savings for Advocates and Solicitors
- Immunities Under CBB Law
- Offences
- Copies of Extracts from Documents to be Admitted as Evidence
- MIE-1.3 Information from Licensed Exchanges and Other Self-Regulatory Organizations
- MIE-1.4 Information from Capital Market Service Providers and Members of SROs
- MIE-1.5 Information from Listed Companies and Issuers of Securities
- MIE-1.6 Referrals from Other Domestic Authorities
- MIE-1.7 Referrals from Overseas Authorities
- MIE-1.8 Complaints from the Public and Information from Other Sources
- MIE-1.9 Reports from Experts
- MIE-1.10 Detection of Potential Cases of Contraventions
- MIE-1.11 Determination of Preliminary Investigation
- MIE-1.12 Preliminary Investigation
- MIE-1.13 Preventive Surveillance Actions