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.

Positions:

Director, Compliance and Inspections

Senior Financial Research Officer

Financial Research Officer

Clerical Assistant II