A vibrant, competitive financial services sector that has sound regulatory practices and policies that promote confidence.
To contribute to the growth and development of a financial services sector that is vibrant and competitive.
The Commission, as a part of its function to
maintain the integrity of the investment funds,
securities and capital markets, has the authority to
conduct investigations and hearings. The Commission
is assisted in these functions by a Hearing Panel
which presides over administrative hearings and
determines disciplinary matters of the Commission.
In carrying out its functions, the Hearing Panel is
empowered to impose various sanctions, remedies or
other relief, as provided for in the Securities
Industry Act, 2011 and the Investment Funds Act,
All decisions of the Hearing Panel are final decisions of the Commission.