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Entities Subject to our Supervision


  1. Issuers
  2. Licensed financial services companies and intermediaries
  1. Advice, Analysis, and Data Dissemination
  2. Brokerage in securities
  3. Initial Offering Management
  4. Investment Management
  5. Investment Trusteeship
  6. Safe Custody
  1. Investment companies, investment banks, and licensed collective investment funds
  2. Financial markets
  3. Certified auditing and accounting bureaus and firms.

 

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