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