The methods of obtaining information referred to in paragraph MIE-1.4.1 which may be used by the CBB may include, but not be limited to:

(a) Formal Request for Information
As part of the CBB's ongoing supervision, the CBB may, by direction, specifically request information or temporary or ad-hoc reporting from a licensee under Article 111 of the CBB Law, or from persons related to any licensee under Article 113 of the CBB Law, and the recipients of such request are bound to provide the information requested within the time specified by the CBB.
(b) Meetings
Apart from the normal meetings, periodical prudential meetings, or any other special purpose meeting, the CBB may convene a meeting with a CBB licensee for the purpose of obtaining specific information.
(c) Periodic Reports and Event-Based Reports (in Electronic Form or Physical Form)
The CBB may use the periodic reports and event-based reports submitted by a capital market service provider to the CBB or to an SRO (including a licensed exchange or market operator and a licensed clearing house or central depository). For example, the CBB may use a Suspicious Transaction Report made by a capital market service provider under the Anti-Money Laundering and Combating Financial Crime Module (AML Module), or the Prohibition of Market Abuse and Manipulation Module (MAM Module) for the purpose of obtaining information. The CBB may require these reports either in electronic form or physical form.
(d) Inspection
The CBB may conduct an inspection and use the information obtained through such inspection.
(e) Additional Responsibilities to Auditors
As per Article 63 of the CBB Law, the CBB may request from the external auditors of a capital market service provider 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.
(f) 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 the CBB licensees and related parties for the purpose of the market surveillance, investigation and enforcement functions.
(g) Record of Telephone Conversations and Electronic Communications
The CBB may also use the records of telephone conversations and electronic communications that are required to be maintained by a capital market service provider or for the purposes of the CBB’s market surveillance, investigation and enforcement functions.
Amended: July 2021