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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

 

About Financial Services Department

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. The 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.

Crucial to the Financial Services Department's effectiveness is its enforcement authority. Each year the Financial Services Department brings more enforcement actions against individuals and companies that break the securities laws. Typical infractions include insider trading, accounting fraud and providing false or misleading information about securities and the companies that issue them.

Aside from administering and enforcing federal securities laws in order to maintain fair, honest and efficient markets, the Financial Services Department has continuously committed itself to disseminating information to the investing public in a timely and efficient manner, one channel of which is through its website that offers the public a wealth of informational resources.

Fighting securities fraud, however, requires teamwork. At the heart of effective investor protection is an educated and cautious investor. While it is the primary overseer and regulator of the securities markets, the FSD works closely with many different institutions, including other federal departments and agencies, the self regulatory organizations, state securities regulators and various private sector organizations.

 
     

Update
How to make the most of a zero-commission world
November 14 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
Rising Medicare prices will shrink Social Security inflation adjustment next year
November 12 2019
   
Update
U.S. company directors compensated more than ever, but now risk backlash
November 11 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.
 
 
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