determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or

and business disputes; ●  Complaints barred by prescription or limited by time to gather evidence as specified by law. ​ Matters under the SEC Responsibility Complaint Handling Procedure Samples of

, remuneration, development, and performance evaluation. e) Ensuring appropriate compensation architecture that supports achievement of the company’s objectives. ​a) Formulating and reviewing policies and