Your Consulting Partner
Committed to protect the investing public.
Ensuring Market Integrity and Protecting Investors through Independent Oversight and Effective Regulation.
90+
Cases Covered
100%
Success Rate
150+
Projects Complete
200+
Clients
Who We Are
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 this country.
We are committed to protecting the investing public and maintaining the market integrity through efficient governance and regulation of the industry.
Committed to Ensuring Fairness and Integrity in the Financial Market.
As an independent regulatory commission, we oversee the corporate finance industry to ensure compliance.
What We Do
This office conducts a number of activities to ensure compliance of firms with the rules and regulations
We provide expert guidance and support to ensure compliance with financial regulations, safeguard market integrity, and protect the interests of investors.
Educate the Investing Public
Develop prevention, detection, and security policies, measures, and procedures.
Enforce Fair Business Practices
Restrict unfair, abusive, and fraudulent business practices.
Accept and Investigate Complaints
Conduct comprehensive background checks and international fraud investigations.
Mediation & Dispute Resolution
Facilitate arbitration, mediation, and offer financial tracking, asset recovery, and litigation support.
Combat Financial Crimes
Focus on anti-money laundering, counter-terrorism financing, and financial crime investigations.
Research & Analysis
Provide transaction pattern analysis, financial instrument & document review, and expert witness testimony.
How Are We Funded
Our Funding and Financial Oversight
We receive funding from the United States Congress to carry out our mission of ensuring compliance and protecting investors. Our financial allocation and distribution to employees are carefully overseen by the U.S. Treasury Department to ensure compliance with all regulations.
We do not accept or charge any fees for the services we provide, ensuring that our resources remain accessible to all without any financial burden on those we assist.