Carry out spot checks on brokerage firms, based on information obtained from the Market Control and Trading Surveillance Section or revealed from sudden inspections about potential market manipulation involving securities and commodities trading.
Study and audit the annual and interim financial statements, plus the financial reports issued by brokerage firms to ensure their compliance with the laws and the financial reporting policies and procedures.
Ensure that brokerage firms have sufficient capital to remain in financial market business.
Prepare quarterly reports of the financial standing of brokerage firms.
Audit the balance sheet, profit and loss account, and all financial statements related to securities and commodities markets and brokerage firms.
Audit trading records to gauge the level of corporate compliance with the laws, regulations, instructions, and decisions issued on recording all transactions executed on securities and commodities markets, as well as the respective budgets.
Search for and obtain information relevant to financial movements and the various trades brokerage firms are engaged in.