MIE — Market Surveillance, Investigation & Enforcement
- MIE-A Introduction
- MIE-B Scope of Application
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MIE-1 Market Surveillance
- MIE-1.1 Market Surveillance
- MIE-1.2 Information Gathering
- MIE-1.3 Information from Self-Regulatory Organizations (SROs)
- MIE-1.4 Information from Members of SROs and Other Capital Market Service Providers
- 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
- MIE-2 Formal Investigation
- MIE-3 Enforcement
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MIE-4: Financial Penalties
- MIE-4.1 CBB Policy
- MIE-4.2 Module AML (Anti-Money Laundering and Combating of Financial Crime)
- MIE-4.3 Financial Penalties for Date Sensitive Requirements
- MIE-4.4 Financial Penalties for Non-compliance with Blocking/Unblocking Requirements
- MIE-4.5 Procedures for Financial Penalties
- MIE-4.6 Remedying a Compliance Failure
- Appendices