Enforcement Division

The mandate of the Enforcement Division is to protect the investing public through the investigation of complaints and the enforcement of the Securities Act. The Enforcement Division is comprised of the Case Assessment Branch, the Investigation Branch and the Litigation Branch.

The Case Assessment Branch is responsible for receiving and assessing complaints concerning alleged misconduct or abuse in the capital markets.

The Investigation Branch is responsible for investigating alleged violations of the Act and preparing investigation briefs, which are either referred to Crown Counsel for possible prosecution in the Provincial Court or referred to the Executive Director with recommendations for administrative proceedings before the Commission.

The Litigation Branch is responsible for conducting administrative proceedings before the Commission, providing legal representation to staff in administrative proceedings, representing the Commission before the courts of British Columbia and providing legal advice to staff.