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Investment MGMT 7

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Gen Lelis
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2 views1 page

Investment MGMT 7

Uploaded by

Gen Lelis
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© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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1.

Market Regulations and Compliance

Regulatory bodies set rules to ensure transparency, fairness, and investor protection. In the
Philippines, regulators include:

Securities and Exchange Commission (SEC): Regulates the securities markets and ensures
compliance with laws, much like the Land Transportation Office (LTO) regulates drivers and
vehicles.

Bangko Sentral ng Pilipinas (BSP): Regulates money markets and issues government
securities, similar to how the Department of Trade and Industry (DTI) regulates businesses.

Philippine Stock Exchange (PSE): Oversees stock market operations and enforces listing rules,
like a shopping mall management ensuring all stores follow mall policies.

Compliance involves adherence to laws like the Anti-Money Laundering Act, insider trading
prevention, and accurate financial reporting.

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