The Securities Act 2012 (“the Act”) entrusts the Commission with the responsibility to ensure that the requirements of Section 62(1) of the Act are duly executed and that “no security shall be distributed or listed with any self-regulatory organization unless it is registered with the Commission”. DR&CF is therefore responsible for the registration of all self-regulatory organisations, broker-dealers, underwriters, reporting issuers and investment advisers as well as the securities that they provide.
Director, Disclosure, Registration and Corporate Finance
Senior Financial Research Officer
Financial Research Officer
Clerical Assistant II