SIA Bill 2011
Enforcement Matters

Our Vision

A vibrant, competitive financial services sector that has sound regulatory practices and policies that promote confidence.

Our Purpose

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, 2003.

All decisions of the Hearing Panel are final decisions of the Commission.

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