Regulators

Regulatory authorities ensure that transactions in the securities markets are undertaken in a manner that ensures the protection of investors and that maintains fair, orderly, and efficient markets.

The work of regulators includes:

• assessing the suitability of various market participants to carry out their business
• promoting the disclosure of important market-related information
• monitoring the business undertaken by banks and other market participants
• monitoring transactions for evidence of insider trading, fraud, or other malpractice
• enforcement of legislation and industry practices