Comparability and dependability of financial information are crucial to informed decision making. The goal of general-purpose financial documentation is to supply information about the financial status, outcome of operations, cash flow and movements in the ownership equity of an enterprise that is useful to a wide range of users for decision-making purposes.
Administration of market intermediaries' management and operations through investigation and surveillance helps ensure the preservation of high standards and the safeguard of investors. These preventative strategies are a required complement to inspections and enforcement activities.
Large exposure is based to an open position that is adequately huge to pretense a risk to the market or to a clearing firm. The Department of Compliance and Securities Division thoroughly tracks large exposures and distribute information with one another so as to allow appropriate examination of risk.
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