COMPLIANCE GROUP

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                    [ArticleID] => 246250
                    [Title] => SEC to bourse: Operationalize compliance, surveillance unit
                    [Summary] => The Securities and Exchange Commission has asked the Philippine Stock Exchange to immediately make operational its new subsidiary that will handle its compliance and surveillance functions.


The spun-off unit was formed last year but has yet to start operations.  


The SEC has been pressing the exchange to create an independent compliance and surveillance outfit due to growing criticisms questioning the bourse’s ability to ensure fair market practices.


                    [DatePublished] => 2004-04-15 00:00:00
                    [ColumnID] => 133272
                    [Focus] => 0
                    [AuthorID] => 1804021
                    [AuthorName] => Zinnia B. Dela Peña
                    [SectionName] => Business
                    [SectionUrl] => business
                    [URL] => 
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            [1] => Array
                (
                    [ArticleID] => 234021
                    [Title] => SEC asks PSE to spin off its compliance, surveillance arm
                    [Summary] => The Securities and Exchange Commission (SEC) will ask the Philippine Stock Exchange (PSE) to spin off its compliance and surveillance department (CSD) into a new corporation to ensure the integrity and fairness of the market.


SEC Chairman Lilia R. Bautista underscored the need for the PSE to create an independent compliance and surveillance corporation after a PSE audit exposed fraud and other violations by a number of brokerage houses.


                    [DatePublished] => 2004-01-05 00:00:00
                    [ColumnID] => 133272
                    [Focus] => 0
                    [AuthorID] => 1804021
                    [AuthorName] => Zinnia B. Dela Peña
                    [SectionName] => Business
                    [SectionUrl] => business
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            [2] => Array
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                    [ArticleID] => 223214
                    [Title] => SEC may ask PSE to spin off its surveillance unit
                    [Summary] => The Securities and Exchange Commission (SEC) may opt to ask the Philippine Stock Exchange to spin off its compliance and surveillance department into a new corporation in view of growing criticisms questioning the bourse’s ability to ensure fair market practices.


                    [DatePublished] => 2003-10-06 00:00:00
                    [ColumnID] => 133272
                    [Focus] => 0
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                    [SectionName] => Business
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abtest

SEC to bourse: Operationalize compliance, surveillance unit

By Zinnia B. Dela Peña | April 15, 2004 - 12:00am

The Securities and Exchange Commission has asked the Philippine Stock Exchange to immediately make operational its new subsidiary that will handle its compliance and surveillance functions. The spun-off unit was...

Business

SEC asks PSE to spin off its compliance, surveillance arm

By Zinnia B. Dela Peña | January 5, 2004 - 12:00am

The Securities and Exchange Commission (SEC) will ask the Philippine Stock Exchange (PSE) to spin off its compliance and surveillance department (CSD) into a new corporation to ensure the integrity and fairness of...

Business

SEC may ask PSE to spin off its surveillance unit

October 6, 2003 - 12:00am

The Securities and Exchange Commission (SEC) may opt to ask the Philippine Stock Exchange to spin off its compliance and surveillance department into a new corporation in view of growing criticisms questioning the...

Business