Inspection


The Commission shall work to strengthen the supervisory role on the securities market and its institutions and entities subject to the supervision of the Commission, taking into account the maintenance of its independence through:

1- Organizing and supervising the work of the financial markets and following up the activities of the Depository Center and the Association of Brokers of Securities and issuing opinions and advice on their programs and issuing instructions that will regulate their work and the work of listed companies.

2- Following up the submission of the brokerage companies to the financial statements in accordance with the instructions of No. (9) and taking appropriate measures against the violating companies (fine or suspension from work)

3- Follow-up of the application of due diligence instructions for customers dealing with securities.

4- Check daily trading files and their conformity with trading instructions.

5- Daily follow-up of your trading sessions.


311409

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Thank you

Baghdad, Iraq
ِAl-Yarmouk

info@isc.gov.iq

964-07734977377