We adopt an investigative approach and work hard to support a safer financial environment, free from unlawful behaviors.
Luckily, many market participants are willing to promote a regulated environment by whistleblowing when individuals, corporations or governmental financial institutions, act unlawfully.
For the public’s good, we call out the bad actors and help build the foundation for a safer and better regulated market.
Institutional & Retail investors
Accountants
Underwriters
Agency brokers
Investment managers
Issuers of securities
Securities firms
Financial institutions
Auditing firms
Credit rating agencies
Self-regulatory organizations
Other market participants