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