Regulatory inspections and audits require platform operator personnel cooperation, allowing responsive action after review of resulting reports. Inspection, inquiry, investigation and audit powers enable the Authority to examine an Electronic Trading Platform Operator at any time. Managers, ... Summary
Regulatory inspections and audits require platform operator personnel cooperation, allowing responsive action after review of resulting reports.
Inspection, inquiry, investigation and audit powers enable the Authority to examine an Electronic Trading Platform Operator at any time. Managers, directors, chairpersons, officers and employees must cooperate during these processes. After considering a report arising from an inspection, inquiry, investigation or audit, the Authority may take appropriate action.
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