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FINANCIAL CHRONICLE™ » DAILY CHRONICLE™ » SEC to have clearly defined punitive measures for violation of rules

SEC to have clearly defined punitive measures for violation of rules

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wickide


Stock Analytic
Stock Analytic


The Securities and Exchange Commission to have a more robust enforcement mechanism with clearly defined punitive measures for violation of rules, SEC sources told Ada Derana. Meanwhile the SEC stated today that it prohibits employees and directors of all market intermediaries to buy shares and sell within six months of buying.

http://www.adaderana.lk/news.php?nid=18185

wickide


Stock Analytic
Stock Analytic
does that mean buy and sell shares of that particular company.??? is it? Question

manula


Vice President - Equity Analytics
Vice President - Equity Analytics
yes..has to be in same company ne.. but now the directors in one company can combine and play with another company.. will be many ways.. Smile Smile

wickide


Stock Analytic
Stock Analytic
Yes true.. on the other hand most of the private companies have their own CDS accounts ( i mean by the company name) and do trade as short term investments.. SEC has not mentioned about any of these accounts.. parties are same but they ll trade by the company name. don't know whether the intention of SEC is protected?

wickide


Stock Analytic
Stock Analytic
Got to know this is applicable only to "Stock Brokers and Dealers".... but market intermediaries includes margin providers, investment managers, under writers, clearing house and credit rating agencies as well....

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