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COLD CALLERS FILE A COMPLAINT PUBLIC INFORMATION FEEDBACK GLOSSARY  
 
 
Due-Dilligence
As an overseas financial services regulator you may seek information from as part of your licensing or registration processes. supports this regulator-to-regulator practice as part of our functions of monitoring and promoting market integrity and consumer protection in relation to the International financial system.

 
Information
If you haven't found the information you need on our website or public registers you can make a probity request for confidential information. We release confidential information in accordance with our statutory obligations, which are outlined in Regulatory Guide 103.

 
Overseas Regulator
NYCRB's website can provide you with useful information that will assist you with your licensing or registration processes. You can access information contained in the public registers through our website. For example, you can confirm that a person or company holds an International financial services licence or is a banned and/or disqualified person.

 
Probity
NYCRB applies certain thresholds, to determine whether it is appropriate for us to respond to a probity check request.

 
Welcome to
 
The NYCRB's major policy consists of supervising, managing and implementing all federal securities laws which are related to Mergers and Acquisitions. NYCRB is involved in the promotion of correct and appropriate information and also interested in protecting the interests of the investors while interacting with corporate and legal organizations they meet and get involved during the process. Following this policy, NYCRB is responsible for guaranteeing a successful transaction based on just and appropriate business rules.



The global integration of capital markets involves a great number of participants. As it provides the possibility of capital flows or the chance of taking personal advantage of some investors, the main objectives of NYCRB is to prevent violations of any kind while trading - asking all the entities involved for following the regulations established. Reliability and ethical premises are the basics of a respectable and serious market development. Fraudulent activities damage not only the integrity of the market, but also destroy client's trust. Federal and State legislations must be accepted, interpreted and put into practice by all the investors in order to achieve a proper and efficient administration of the Mergers and Acquisitions.
 
Best Practices
 
 
NYCRB announced a series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures.

 
Raising Standards
 
 
NYCRB has launched an initiative to raise the standards of cross-border cooperation among securities regulators. NYCRB objectives are to protect investors, to ensure fair, efficient and transparent markets and to reduce systemic risk.
 
   
What we do?
 
 
Promote Confidence
The is established to promote investor confidence in the securities and capital markets by providing more structure and government oversight.
 
 
 
Protect Investors
The mission of the 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.
 
 
 
Enforcing Laws
 
is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals.
 
 
 
 
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