Legal, Compliance and Enforcement Division

About The ECSRC

Legal, Compliance and Enforcement Division

Functions:
  • Draft laws, rules and regulations for the fair and orderly dealing in securities.
  • Advises the Commission on legal, regulatory and compliance matters.
  • Ensures compliance by market participants with securities laws.
  • Liaises with international and regional regulatory bodies.

Enforcement

The Commission by virtue of the Securities Legislation and Regulations have a wide range of enforcement powers. The Legal, Compliance and Enforcement Division is responsible for enforcing the requirements of the Securities Legislation to protect investors and encourage investor confidence. Possible violations are investigated within the powers of the Commission.

Enforcement Powers
  • Suspension and revocation of market participants licences.
  • Issuing warnings and/or fines against firms and individuals for breaches of securities law and regulations.
  • Issuing market notices on policy decisions, unauthorized firms and individuals.
  • Inspection and investigative powers in relation to alleged or possible breaches of securities law and regulations.
Division Employees:

Suzy St Brice- Senior Legal Officer
Email address: sstbrice@ecsrconline.org   

Jeville John- Legal Officer I
Email address: jjohn@ecsrconline.org