Enforcement & Investigations Department

The enforcement and investigations department is responsible for investigating breaches of the securities laws. The department initiates investigations on receiving information or evidence of possible violations of the securities laws obtained from other departments of the Commission, self-regulatory organizations and other securities industry sources, press reports, and investor complaints.

The objects of the department include the investigations of complaints received from investors and market operators, issues unearthed from market surveillance activities and reports and matters referred to the department by the Board, GSE, Ministry and state institutions. The department also provides technical support to the Administrative Hearings Committee (AHC).