The SEC describes itself as the prudent registrar and supervisor of the corporate sector and the independent guardian of the capital market. It is a collegial body of one chairperson and four commissioners.
What they do
Under the Securities Regulation Code it approves or rejects registration statements, investigates compliance, imposes sanctions and issues cease and desist orders against activity that threatens investors. Its issuances also cover sustainability reporting by listed companies, beneficial ownership in the General Information Sheet, and lending and financing companies, including their online lending platforms.
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