Elaborate and Explain the Organizational Structure, Powers & Function of the Securities Commission with a Brief Comparison and/or Reference to the Kuala Lumpur Stock Exchange and Kuala Lumpur Commodities Exchange.

The Securities and Exchange Commission has the mission of protecting investors by maintaining fair, orderly and efficient markets. The SEC does this in a number of ways, and firms need to pay attention to these ways in order to ensure SEC compliance. The SEC has enforcement authority over a number of areas related to the nation's capital markets, including insider trading, accounting fraud, and providing false information. The SEC's jurisdiction extends to all securities that are traded publicly. Privately-held companies do not need to register with the SEC (SEC.gov, 2012).

The SEC assists in providing investors with reliable information upon which to make investment decision. The Securities Act of 1933 requires most companies planning to issue new securities to the public to submit a registration statement to the SEC for approval. The Securities Exchange Act of 1934 provides additional protection by requiring public companies and others to file detailed annual reports with the commission. Smackey Dog Food, need to file next forms:

Executive is separated into useful groupings, and every department has a leader directly accountable to the Parliament, as a result department head are more responsible.

In section 120 of the Corporations Act 2001 it is mentioned that whenever a company is formed and its registration is going on any individual can become a member or director or the secretary of the company provided that in the application form their name is mentioned with their consent of working as a part of that company. The shares distributed to the members of the company can also be decided at the time of registration and is mentioned in the application itself. (Commonwealth Consolidated Acts, 2015a).

The Securities and Exchange Commission’s mission is to “protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.” The purpose of this paper is to examine three recent federal security laws to see if they uphold all parts of the SEC’s mission. The three laws to examine are Sarbanes Oxley Act (2002); Emergency Economic Recovery Stabilization Act (2008); and Dodd Frank Wall Street Reform and Consumer Protection Act (2010).

Criminal Code will be considered a constraint. All firms or corporations have their own compliance personnel and many have legal counsel as well, and it is recommended that the investment advisors consult those recourses when there are legal issues.

ASIC was initially structured as the Australian Securities Commission (ASC), which initiated existence on 1 January 1991 as per the (then) ASC Act 1989. The motivation behind the ASC was to bind together corporate controllers around Australia by supplanting the National Organizations and Securities Commission and the Corporate Issues work places of the states and domains.

The organizational structure at MOKA consists of a Board of Directors, who have the final say in any major decision. The Executive Director that is in charge of handling and maintaining the different departments within the organization, who also works on developing new areas of service, as it is important to stay ahead of the latest services. MOKA has several directors, including; Finance, Human Resources, Property, Development, and Programs. The Finance Director is in charge of the IT department, and the billing and finance departments, which consist of six employees.

Part 2, Division 2 of the Australian Securities and Investments Commission Act 2001 (ASIC Act)

In Yeo Hiap Seng (Malaysia) Berhad, there is a clear division of responsibilities between the Chairman and Group Chief Executive Officer (CEO). As the

Like most multinational corporations, the shareholders own the company and they may also be the board of directors. A Chief Executive Officer (CEO) will be appointed to nominate and manage the operation of the company as a whole. A Chief Operating Officer (COO) will be managing the company’s day-to-day operations and reports them to CEO. The Chief Financial Officer (CFO) will be managing the finance and account together with the

Part I. The system by which American companies compiled and present their financial accounting standards is the generally accepted accounting principles (GAAP). This system is "a common set of principles, procedures and standards" to ensure that there is a high level of consistency in accounting statements in the country (Investopedia, 2013). The IFRS (international financial reporting standards) is a similar set of standards that is widely used internationally, in over 100 countries including most of continental Europe.

Commission the authority to administer the securities laws and to promulgate rules and regulations to

The purpose of this study is to take stock regulatory infrastructure of the Indian securities market and see whether there exist well formulated laws with well-defined scope and powers of the regulator, capable of presenting all investors in the Indian market with a level of playing field. We summarise some of the regulatory provisions that have evolved for tackling market misconduct and try to see what comes in the way of regulatory action aimed at investor protection in India, as compared with US which is perceived as the world’s most safe and liquid capital market. We also discuss the roles the stock exchanges and electronic databases in aiding the regulator in prevention, detection and conviction of securities frauds. One tends to conclude that the scope of Indian securities laws which gave gradually evolved over time is now quite pervasive and the problem lies mostly in the enforcing compliance particularly for crimes such as price manipulation and illegal insider trading. Our discussion suggests that there remains need to ensure that laws/regulations are rationalised to completely empower SEBI to carry out its functions as the principle regulator, while SEBI in turn needs to drastically upgrade its surveillance process enabling to produce evidence that is credible enough to secure conviction.

Further, under the Section 32 of the Act provides that the act shall be applicable in addition to any other law in force at a particular time which implies that the powers of SEBI co-exist with and cannot over-ride other regulators in the market. Several regulations have been framed under the SEBI Act for regulating different aspects of the securities market. In addition to its enabling Act, SEBI also operates under other legislations, which include the