Phone: +19296197672Email: info@seipc.org

Our Structure

Organizational Structure

The Securities Exchange and Investment Protection Commission (SEIPC) is structured to ensure effective governance, clear accountability, and efficient operations in fulfilling our regulatory mandate.

Board of Directors

The SEIPC is governed by a Board of Directors appointed by the Government. The Board is responsible for:

Setting the strategic direction of the Commission
Approving regulatory policies and rules
Ensuring the Commission fulfills its statutory obligations
Overseeing the performance of the executive team
Ensuring good governance and accountability

The Board consists of a Chairperson, Deputy Chairperson, and up to seven other non-executive directors with expertise in various aspects of financial services, law, consumer protection, and corporate governance.

Executive Team

The day-to-day operations of the Commission are managed by the Chief Executive Officer (CEO) and the Executive Team. The Executive Team includes:

Chief Executive Officer
Chief Operating Officer
Director of Supervision
Director of Enforcement
Director of Policy and Strategy
Director of Authorizations
General Counsel
Chief Financial Officer

Each member of the Executive Team leads a division of the Commission and reports directly to the CEO, who in turn reports to the Board of Directors.

Operational Divisions

The SEIPC is organized into several operational divisions, each responsible for specific aspects of our regulatory mandate:

Supervision Division

Responsible for the ongoing supervision of regulated firms, including monitoring compliance with regulatory requirements and conducting risk assessments.

Enforcement Division

Investigates potential breaches of regulatory requirements and takes enforcement action against firms and individuals who violate the rules.

Policy and Strategy Division

Develops regulatory policies, rules, and guidance, and coordinates the Commission's strategic planning and international engagement.

Authorizations Division

Assesses applications from firms seeking authorization to conduct regulated activities and approves individuals for key positions within regulated firms.

Legal Division

Provides legal advice to the Board and Executive Team, drafts legislation and regulations, and represents the Commission in legal proceedings.

Corporate Services Division

Manages the Commission's finances, human resources, information technology, and administrative functions.

Committees

The SEIPC has established several committees to support its governance and decision-making processes:

Audit and Risk Committee: Oversees the Commission's financial reporting, internal controls, and risk management.
Remuneration Committee: Determines the remuneration policy for the Executive Team and senior staff.
Regulatory Decisions Committee: Makes decisions on significant regulatory matters, including enforcement actions.
Nominations Committee: Recommends appointments to the Board and senior executive positions.
Technology and Innovation Committee: Advises on technological developments and innovation in the financial sector.