Division of Compliance and Inspections (C&I)

This is the newest Division of the Commission, which was established in January 2014 as a result of the passage of the Securities Act 2012. Its main responsibility is to conduct inspections and examinations of self-regulatory organizations, broker-dealers, registered representatives, underwriters, issuers and investment advisers as may be necessary for giving full effect of the Act.


Director, Compliance and Inspections

Senior Financial Research Officer

Financial Research Officer

Clerical Assistant II

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