Investor Alerts

The FSC issues investor alerts and communiqués to inform and protect investors against illegal, dishonourable and improper practices, market abuse and financial fraud in the financial services and global business sectors. For more information, click here.

The FSC also ensures, as part of its surveillance mechanism, that there is proper dissemination of investor alerts and warnings from international bodies such as International Organisation of Securities Commission (IOSCO) and other regulatory bodies to relevant stakeholders. These investor alerts and warnings typically refer to entities which are not authorised to provide investment services from the relevant jurisdiction.

IOSCO Investor Alerts

The IOSCO receives alerts and warnings from its members about firms which are not authorised to provide investment services in the jurisdiction which issued the alert or warning. Some of the alerts or warnings are about unauthorised firms using names similar to those of authorised firms or about unauthorised firms falsely claiming to be associated with authorised firms.

Click here for list of IOSCO Investor Alerts.

United Nations Security Council Resolutions

As part of its supervisory framework to combat Money Laundering and Financing of Terrorism, the FSC regularly communicates to its licensees updates on the List of Persons/Entities suspected of Terrorism issued by the United Nations Security Council (UNSC). Licensees are required to verify whether they maintain any accounts or otherwise hold any fund, other financial assets, economic benefits and economic resources for individuals or entities as reported by the UNSC. Licensees are thus required to take necessary actions and report to the FSC any link found with the reported persons/entities in accordance with the United Nations Security Council Resolutions.