Legal, Compliance and Enforcement Division

This division is responsible for enforcing the requirements of the securities legislation to protect investors from fraud and to encourage investor confidence. The division:

  • drafts laws, rules and regulations for the fair and orderly dealing in securities
  • advises the ECSRC
  • assists with the interpretation of laws and rules
  • liaises with other regulatory bodies


What's Happening

Regular meetings of the ECSRC are held quarterly or more regularly based on the exigencies of the market. The Chairperson is required to call a special meeting of the ECSRC within seven days of receipt of a written request for such a meeting from at least two Commissioners. The Chairperson can call an emergency meeting of the ECSRC to review and act on a market emergency