Real-Life Communication
You're a securities administrator talking to an investor named Marianne.
Marianne feels that she's been a victim of fraud. You try to talk to her and
hear a little bit about her side of the story.
She is reluctant to say
anything. She isn't sure about the function of your government office. Will
she just get herself into more trouble by revealing all kinds of personal
and financial information to you?
"In these jobs, communication skills
are very important," says Deborah Bortner. She is a securities administrator.
"You have to convince people to tell you a story. They don't want to look
like a sucker.
"In addition, many of the issues are sensitive. People
have to talk about how much money they lost and how much they earned. Sometimes
they don't understand and are leery of giving this information to a government
office."
Before you can look into Marianne's case any further, you have
to set her at ease. You also need to explain to her the function of the securities
agency so she can understand its role in assisting her.
Below is an
example of the function of a commission office. Read the following excerpt
so that you will be able to explain it to Marianne:
The
commission is the independent government agency responsible for regulating
trading in securities.
Its mission is to protect and promote the public
interest by regulating trading in securities:
- To ensure the securities market is fair and efficient and warrants public
confidence
- To foster a dynamic and competitive securities industry that provides
investment opportunities and access to capital
The commission's responsibilities are:
- To ensure that investors have access to the information they need to make
informed investment decisions
- To provide rules of fair play for the markets
- To establish qualifications and standards of conduct for people registered
to advise investors and to trade on their behalf
- To protect the integrity of the capital market and the confidence of investors
The commission is committed to using plain language in all its documents.
Marianne
seems a bit comforted when you explain the role of a securities agency office
to her. But she has a few questions:
- What is the commission's mission?
- What are some of the commission's responsibilities?
- What kind of language does the commission use in its office dealings?