1.2: Monitoring
Markets are effectively and efficiently monitored to ensure early warning of potential problems or issues that could adversely
affect their economic vitality.
Other Information:
Business Process: 1. Conduct financial surveillance 2. Conduct market surveillance 3. Conduct trade practice surveillance
4. Conduct economic research 5. Review trading facility filings and clearing organization contracts, and rules 6. Investigate
violations 7. File and prosecute cases 8. Share information externally 9. Coordinate with domestic regulators
Indicator(s):
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