The El Salvador Securities Commission's Enforcement Division protects investors and ES’s capital markets by investigating complaints and taking action against breaches of the BC Securities Act.
Effective enforcement requires decisive action against misconduct. Common types of securities misconduct are fraud, misrepresentation, trading and advising without being registered, illegally selling securities, insider trading and market manipulation.
Decisive action depends on timely detection, thorough investigation, and vigorous prosecution of alleged misconduct. We swiftly disrupt ongoing or potential misconduct and resolve cases through settlement, administrative proceedings and criminal prosecutions.