Enforcement & Compliance Actions
Investigation Triggers
- Misrepresentation or mis-selling of services;
- Unauthorized trading or licensing violations;
- Market abuse or insider trading;
- Failure to meet capital, cybersecurity, or reporting standards.
Sanctions & Remedies
- Civil monetary penalties;
- Administrative license suspension or revocation;
- Cease and desist orders;
- Referral to criminal authorities where applicable.