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C. E. D. MISSION |
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To create a culture of compliance through effective, efficient and fair enforcement of laws.
Goals of Market Surveillance 1. To ensure market activities comply with laws/ regulations relating to: a. Securities Law b. Corporation Code c. Other laws being administered by the Commission 2. To detect possible offenses. 3. To establish and maintain close relationships with other enforcement agencies.
Goals of Investigations 1. To develop a case in the strongest possible way, within a reasonable time, to ensure success in enforcement action. 2. To conduct proactive investigations at the soonest possible time closest to the date of incident. 3. To conduct investigations with a "project management approach," meeting set targets according to an agreed-upon timetable and reassessing the plan of investigation at regular intervals. 4. To seek emergency relief when there is a continuing violation harming investors or when there are ill-gotten assets in danger of disappearing.
Goals of Prosecution 1. To protect investors and ensure fair and honest markets. 2. To select and prosecute cases that create impact and where the chances of obtaining a favorable judgment are high. 3. To deter future violations. 4. To educate the public and regulated entities through the enforcement program, particularly by bringing important "message cases". |
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SEC
Building, EDSA Greenhills, Mandaluyong City, Metro Manila, Philippines |
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