ESTABLISHING ACCOUNTING AND AUDITING STANDARDS
Informed decision-making relies on comparable and dependable financial information. General-purpose financial documentation aims to provide information about an enterprise’s financial status, operations, cash flow, and equity movements that are useful to a wide range of users.
REGULATORY INSPECTIONS AND ENFORCEMENT
Investigation and surveillance of market intermediaries’ management and operations are essential to maintain high standards and protect investors. These preventative strategies complement inspections and enforcement activities.
LARGE EXPOSURES, DEFAULT PROCEDURES, AND MARKET DISRUPTIONS
A large exposure refers to an open position that is sufficiently significant to pose a risk to the market or a clearing firm. The Compliance Department and Securities Division closely monitor large exposures and exchange information to facilitate appropriate risk assessment.