DIVISIONS & OFFICES
FRAUD PREVENTION DIVISION
Our relentless effort to detect and prevent fraudulent schemes and the perpetrators behind them is paramount to maintaining investor confidence in the market. By issuing warnings to investors, we empower them to avoid falling victim to fraud and scams, safeguarding their financial interests.
OFFICE OF INFORMATION
Leveraging industry-standard technology tools, our office fosters a deeper understanding of market dynamics and structures, thereby mitigating risks before significant investments are made. Access to visualization tools enables users to compare and contrast data sets based on various characteristics and scrutinize data distributions with precision.
OFFICE OF COMPLAINTS
Tips and complaints from the public are invaluable in our fight against financial criminals, fraudsters, and scammers. Our office collaborates closely with whistleblowers, ensuring the confidentiality of their details and often providing financial incentives as a token of appreciation for their assistance in maintaining market integrity.
DIVISIONS & OFFICES
The SMEC's operations and responsibilities are structured across various divisions and offices, enabling us to assemble specialized teams capable of efficiently and effectively executing their mandates. Upholding the integrity of markets and facilitating the dissemination of accurate market information are central to our mission, as we endeavor to cultivate an environment worthy of public trust.
REGULATION DIVISION
Our commitment lies in ensuring that you receive only precise market information, reflective of the current financial landscape. This is achieved through rigorous data analysis and comparison with primary data sources. Upon identifying evidence of misrepresentation or crucial information omission, we promptly escalate the matter to the Enforcement Division for further action.
ENFORCEMENT DIVISION
Upon receipt of evidence indicating market manipulation, the Enforcement Division collaborates with the Commission to execute its law enforcement duties by recommending further investigative measures. Through close cooperation with local and international law enforcement agencies, we pursue civil actions in federal court to curtail such violations.
OFFICE OF PROTECTION
The Office of Protection keeps stakeholders involved in mergers, acquisitions, and escrow agreements informed through the dissemination of educational advice. By addressing inquiries, grievances, and concerns, we assist in identifying procedures, options, and resources to mitigate the risk of fraud and scams.
ENFORCEMENT UPDATE
Welcome to the latest developments in SMEC enforcement activities. Here, you'll find comprehensive information on enforcement actions, Commission opinions, trading suspensions, and insights into our investigative processes.