Financial Services Department

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RAISING STANDARDS

Raising Standards of Cross-Border Cooperation The FSD has launched an initiative to raise the standards of cross-border cooperation among securities regulators. FSD objectives are to protect investors, to ensure fair, efficient and transparent markets and to reduce systemic risk.

What we do ?

The Financial Services Department is established to promote investor confidence in the securities and capital markets by providing more structure and government oversight.

The mission of the Financial Services Department is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies.

Financial Services Department is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals

Welcome to Financial Services Department
The Departments's major policy consists of supervising, managing and implementing all federal securities laws which are related to Mergers and Acquisitions. The Departments is involved in the promotion of correct and appropriate information and also interested in protecting the interests of the investors while interacting with corporate and legal organizations they meet and get involved during the process. Following this policy, Department is responsible for guaranteeing a successful transaction based on just and appropriate business rules.

Update
Investor to oppose Instructure's plans to sell to Thoma Bravo
December 5 2019

The global integration of capital markets involves a great number of participants. As it provides the possibility of capital flows or the chance of taking personal advantage of some investors, the main objectives of the Department is to prevent violations of any kind while trading - asking all the entities involved for following the regulations established. Reliability and ethical premises are the basics of a respectable and serious market development. Fraudulent activities damage not only the integrity of the market, but also destroy client's trust. Federal and State legislations must be accepted, interpreted and put into practice by all the investors in order to achieve a proper and efficient administration of the Mergers and Acquisitions.

Update
Top U.S. stockpickers keep low profile
December 4 2019

Update
U.S. banking regulators urge 'responsible use' of alternative lending data
December 4 2019

Due-Dilligence / Probity

As an overseas financial services regulator you may seek information from Financial Services Department as part of your licensing or registration processes. Financial Services Department supports this regulator-to-regulator practice as part of our functions of monitoring and promoting market integrity and consumer protection in relation to the International financial system.

Financial Services Department

If you haven't found the information you need on our website or public registers you can make a probity request for confidential information. We release confidential information in accordance with our statutory obligations, which are outlined in Regulatory Guide 103.

Overseas Regulator

FSD's website can provide you with useful information that will assist you with your licensing or registration processes. You can access information contained in the public registers through our website. For example, you can confirm that a person or company holds an International financial services licence or is a banned and/or disqualified person.

Probity Check

FSD applies certain thresholds, to determine whether it is appropriate for us to respond to a probity check request.