Regulatory Alerts2020-10-08
Added · Updated
SEC Issues a Code and Three Guidelines for the Market
The Securities and Exchange Commission (SEC) has issued a Corporate Governance Code and three operational guidelines to implement its statutory mandate under the Securities Industry Act 2016. The new framework establishes licensing requirements for market operators, outlines procedures for regulatory sandbox participation, and codifies conduct of business standards. These measures collectively aim to safeguard investor interests, preserve market integrity, and promote the orderly development of an efficient securities market.
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