Enforcement

The Department of Enforcement was created to consolidate enforcement activities. The Commission’s Enforcement Team, based on results of investigations performed by the Compliance Department, ensures that licensees are sanctioned for non-compliance.

The team uses a wide range of enforcement powers –criminal and administrative – to protect clients and to take action against firms/licensees that do not meet the FSC’s standards.

They are responsible to, but not limited to;

• ensuring compliance with legal obligations under the FSCA and MLTPA;
• achieve outcomes consistent with FSCA;
• detect and deter non-compliant behaviour;
• assertively apply dissuasive, consistent and proportionate enforcement actions.

Here you will learn about different enforcement activities, disciplinary actions taken and how complaints are being treated.