[vc_row][vc_column][vc_column_text]The Directorate has oversight responsibility for all legal, compliance and enforcement related matters. Logically, each function is embodied by a full Department:[/vc_column_text][vc_tta_accordion style=”modern” shape=”square” active_section=”1″ no_fill=”true”][vc_tta_section title=”Legal” tab_id=”1441141378141-4d3f4100-b944″][vc_column_text]The Legal Department serves as the legal advisory arm of the Commission and it reports to the Commissioner (Legal & Enforcement). The Dept. coordinates all matters having legal content including legal publications, rule making and litigations involving the Commission. The Department is made up of Four Divisions namely:
Functions of Legal Department
[/vc_column_text][/vc_tta_section][vc_tta_section title=”Monitoring” tab_id=”1441141378195-77040f61-15bf”][vc_column_text]The overall responsibility of the Monitoring Department involves identifying, assessing and monitoring the operations and risks of registered operators and protection of investors. It is a legal requirement that every operator in the market must be certified as fit and proper to carry out or undertake capital market functions.
The Department is comprised of Three Divisions:
Functions of Monitoring
The Division utilises the on-site and off-site inspections to achieve these stated objectives.[/vc_column_text][/vc_tta_section][vc_tta_section title=”Enforcement” tab_id=”1441141444915-4fea1d1d-1774″][vc_column_text]The Department is responsible for ensuring compliance with regulations by operators and imposing sanctions where infractions are established. The Department investigates and analyses unresolved complaints and recommends appropriate actions to Management with the ultimate aim of protecting investors.
The Department comprises Three Divisions:
Investor Protection Division[/vc_column_text][/vc_tta_section][/vc_tta_accordion][/vc_column][/vc_row]