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Our Mandate

As the name implies the mandate of the Department of Finance is to oversee, regulator and enforce the federal securities laws relating to corporate Mergers and Acquisitions (M&A). Secondary to our primary mandate but of no less importance, we interact with the various corporate and legal entities we may encounter during a merger or acquisition. In addition, we have a responsibility to ensure that all parties involved in any transaction conduct their business in a fair and transparent manner. We believe that good regulation is good for business, when fraud does occur; it damages the integrity of the entire M&A industry, we adopt a policy of strict adherence and interpretation of the appropriate Federal and State legislation's. One of the key trends the Department of Finance must deal with is the global integration of M&A participants.

The Department of Finance is established to promote investor confidence in the securities and capital markets by providing more structure and government oversight. The mission of the Department of Finance is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The Department of Finance is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals.

Crucial to The Department of Finance's effectiveness is its enforcement authority. Each year The Department of Finance brings more enforcement actions against individuals and companies that break the securities laws. Typical infractions include insider trading, accounting fraud, and providing false or misleading information about securities and the companies that issue them.

Aside from administering and enforcing federal securities laws in order to maintain fair, honest, and efficient markets, The Department of Finance has continuously committed itself to disseminating information to the investing public in a timely and efficient manner, one channel of which is through its website that offers the public a wealth of informational resources.

Teamwork!

Fighting securities fraud, however, requires teamwork. At the heart of effective investor protection is an educated and cautious investor. While it is the primary overseer and regulator of the securities markets, the works closely with many different institutions, including other federal departments and agencies, the self regulatory organizations, state securities regulators, and various private sector organizations.

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