As a specialized commission, this office conducts inquiries and investigations into matters associated with fraud, suspect documents and money laundering. We are an independent regulatory commission for investment firms.
We exist to ensure that the corporate finance industry is conducting business fairly and under the guidance and supervision of policies set forth by the United States. We are committed in protecting the investing public and maintaining the market integrity through efficient governance and regulation of the industry.
INVESTIGATE AND ENFORCEMENT OF LEGAL ACTIONS
International Financial Crime & Fraud Investigations
RESTRICT UNFAIR, ABUSIVE AND FRAUDULENT BUSINESS PRACTICE
Development of Prevention, Detection, Internal Security Policies, Measures, and Procedures
ACCEPT CONSUMER COMPLAINTS
Comprehensive Background Checks
& International Financial Crime & Fraud Investigations
We receive funding from the Congress and we are answerable to the Treasury Department concerning financial allocation and distribution to employees. We do not accept or charge any fees for any of the services we provide.
