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

confidence and promoting robust economic growth.   The SEC also encourages listed companies to establish and implement anti-corruption measures and requires them to disclose such policy and performance in the

confidence and promoting robust economic growth.   The SEC also encourages listed companies to establish and implement anti-corruption measures and requires them to disclose such policy and performance in the

confidence and promoting robust economic growth.   The SEC also encourages listed companies to establish and implement anti-corruption measures and requires them to disclose such policy and performance in the

confidence and promoting robust economic growth.   The SEC also encourages listed companies to establish and implement anti-corruption measures and requires them to disclose such policy and performance in the

strategies, plans and targets. b) Ensuring robust system for risk management and internal control c) Clearly defining management’s responsibilities d) Overseeing appropriate policies and plans for resource