Enforcement

The Commission, via the Enforcement Department, is responsible for investigating allegations of misconduct and initiating appropriate proceedings, criminal or administrative, against persons who contravene the various laws the Commission is responsible for administering.

Supervisory Matters

Find matters involving the winding up or liquidation of regulated and non-regulated persons.

Disciplinary Decisions

Find final decisions issued by the Commission’s Hearing Panel for non-compliance with securities laws.

Settlements

Find final decisions brought about by way of a settlement.

Judgments and Rulings

Find judgments and rulings issued by the Courts involving the Commission’s exercise of its authority.