MIE-3.6.6
As an
a) Actively perform market surveillance as a front-line regulator;
b) Take disciplinary action for contraventions by members and listed companies/issuers through the SRO's Disciplinary Action Committee;
c) Identify potential cases of unlawful transactions and take preventative actions;
d) Report suspected cases of market abuse and manipulation to the CBB;
e) Implement enforcement actions determined by the CBB.
When an
a) Cancellation or amendment of license;
b) [This Subparagraph has been deleted in July 2021];
c) Removal of officers from his office or employment;
d) Financial penalties as per Article 129 of the CBB Law.
Amended: July 2021