Investment Management: Mid-term Exam

The mission of the SEC revolves around protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation.
Click the card to flip 👆
1 / 6
Terms in this set (6)
1. To cooperate in developing, implementing and promoting adherence to internationally recognized and consistent standards of regulation, oversight and enforcement in order to protect investors, maintain fair, efficient and transparent markets, and seek to address systemic risks
2. To enhance investor protection and promote investor confidence in the integrity of securities markets, through strengthened information exchange and cooperation in enforcement against misconduct and in supervision of markets and market intermediaries
3. To exchange information at both global and regional levels on their respective experiences in order to assist the development of markets, strengthen market infrastructure and implement appropriate regulation