The Investor Affairs & Complaints Department of the Trading Bureau inquiries into complaints on improper conduct and other irregularities in the securities and futures markets to assess whether they disclose offences under the securities laws.
The Trading Bureau welcomes all types of related complaints since the complaints can assist in alerting the TRADING BUREAU of irregular activities occurring within the industry or new trends involving investment scams for public money.
If you suspect abuses in the industry and are able to support your claims, please submit your complaints to the Trading Bureau.
You can lodge a by calling, faxing or sending your complaint to the address/contact details below:
Investor Affairs & Complaints Department
The following are examples of the categories of complaints:
- Complaints against public listed companies
- Complaints against licensed intermediaries
- Complaints against share registrars
- Complaints against issuing houses
- Complaints against exchanges
- Complaints concerning dealings in unit trust
- Complaints concerning dealings in securities
- Complaints concerning dealings in futures
Efficient and effective processing can only be done if information received is accurate and complete. Even though a complainant is not required to furnish any more information than he/she wishes, critical information required to enable proper evaluation of the complaint includes:
- Name of the complainant, mail and email addresses, and telephone numbers.
- The name, mail and email addresses, telephone numbers, and any website address of party (ies) mentioned in the complaint
- Specific details of how, why and when the matter complained about arose.
Each complaint will be reviewed and evaluated for referral to the appropriate department within the Trading Bureau. Where a possible breach of securities laws is detected, the matter will be referred to the Investigation Department of the TRADING BUREAU for further investigations. It is Trading Bureau’s policy to conduct its investigations on a confidential basis to preserve the integrity of its investigative process as well as to protect persons against whom unfounded charges may be made or where the Trading Bureau determines that enforcement action is not necessary or appropriate.
The Trading Bureau cannot under its laws disclose the existence or non-existence of an investigation and any information gathered.
Any action taken by the Trading Bureau is taken on its own behalf. Trading Bureau does not conduct arbitrations and will not act as a lawyer or advisor. If losses are suffered, the aggrieved party will have to file his/her own claim, either on his/her own or by procuring services of a lawyer.
We connect with proactively with our partners in the EU notwithstanding EU organizations. As the worldwide agent at the European Securities and Markets Bureau, we take part actively in an extensive variety of gatherings creating strategy and administrative tenets.
We dedicate critical time and assets to worldwide engagement, to the work of worldwide standard setters and other worldwide bodies.