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