information and make confident decisions on investment. The capital market is operated with fairness, efficiency and transparency. Systematic risks in the markets can be managed and contained within limits
complaint would allow the intermediary to rectify or take necessary action before further necessary action can be taken; SEC treats all complaints equally, whether they are submitted by individuals or a
Regional Committee. Served as the member of the IOSCO Board in 2014-2016, the SEC has taken part in reviewing major securities regulatory issues with regulators of global financial centers, such as the USA