Investment Service Providers are governed by the terms of the Investment Services Act and include:

Brokerage Entities seek to protect the interests of financial services consumers, ensure that financial markets are fair, efficient, and transparent, and strive to safeguard financial stability. This is achieved through, inter alia:

I) overseas oversight that includes monitoring and analysis of ongoing business developments of licensed entities, periodic regulatory returns table reviews, financial statements, and other documentation, as well as addressing questions and correspondence with various stakeholders, including regulators; foreign and domestic;

II) on-site supervision which includes the analysis and evaluation of internal processes, procedures, and controls within the business address of the licensed entity;

III) event monitoring through review of operational activities of licensed entities, their risk models, and customer interaction.
From a prudential oversight perspective, the focus is on system controls, governance adjustments, risk management, and risk mitigation measures adopted by licensed entities.

Supervisory Disclosure

The purpose of supervisory disclosures is to enhance the transparency of supervisory practices. Transparency is a key element in effective banking supervision, as emphasized by the Basel Committee on Banking Supervision in its Core Principles on Effective Banking Supervision.