Check a company before you decide to do business with it and see if it is in our Unlicensed Cold Callers List.
HomePage    |    About Us    |    Developments    |    Investor Help    |    Contact Us
Cold Callers File A Complaint Public Information Feedback Glossary  
 
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

 
Investor Help
 

The Financial Services Department provides you a variety of services and informational resources to address the questions and concerns that you may face as an investor and help you invest wisely and be on your guard about fraudulent activities. Resources

Resources

Investing With A Purpose

Why are you investing? It's ok if you have many different answers for this question, but there is a big problem if you have no answer at all. Investing is like driving - it is best done with your eyes open!

Having clear reasons or purposes for investing is critical to investing successfully. Like training in a gym, investing can become difficult, tedious and even dangerous if you are not working toward a goal and monitoring your progress. In this article we examine some common reasons for investing and suggest investments that fit those reasons. .

Choosing A Compatible Broker

"Did you hear about Duncan Chemicals?"
"Yeah, I got in at $25.10."
"Well I got in at $25.05!"
"How did you get a better price than I did?"

For those of you who don't remember this dialog, it is a snippet from an old Ameritrade (a brokerage) commercial.

 
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.
 
 
© Copyright 2019. Financial Services Department. All Rights Reserved