- 10 Marks
FM – Nov 2019 – L2 – Q1a – Economic and regulatory environment
Functions of Ghana's Securities and Exchange Commission and implications for corporate investing and financing activities.
Question
The financial sector is one of the most highly regulated sectors of any country. Notably, each industry under the financial sector has a special regulatory framework consisting of statutes to shape the conduct of participants in the industry and a regulator to foresee compliance and promote fairness and efficiency.
Required: i) Describe THREE (3) functions the Securities and Exchange Commission of Ghana (SEC) is expected to perform towards achieving fairness and efficiency in the securities industry. (6 marks)
ii) Explain TWO (2) implications of the regulatory functions of the SEC for corporate investing and financing activities. (4 marks)
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