Table of Content

• Visions
• Vision [1]


• Missions
• Mission [1]


• Values
• Value [1] Integrity
• Value [2] Fairness
• Value [3] Accountability
• Value [4] Resourcefulness
• Value [5] Teamwork
• Value [6] Commitment to Excellence


• Goals
• 1: Compliance
• 1.1: Detection and Prevention
• 1.2: Violators
• 2: Regulatory Environment
• 2.1: Regulations and Standards
• 2.2: Markets and Industry
• 2.3: Regulations and Reporting
• 3: Investment Decisionmaking
• 3.1: Disclosure Materials
• 3.2: Investor Understanding
• 4: Resource Utilization
• 4.1: Human Capital
• 4.2: Financial Management and Internal Controls
• 4.3: Information Technology