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The Financial Conduct & Integrity Commission promotes transparency, accountability, responsible conduct, consumer protection and confidence within the areas covered by its stated mandate.
Understanding the regulatory frameworks that govern financial markets and the standards promoted by FCIC.
Learn morePromoting transparency, fairness, and accountability in financial markets through information and education.
Learn moreEducating consumers about financial risks, fraud prevention, and available resources for investor protection.
Learn moreDocumenting enforcement actions and regulatory responses to maintain market integrity and investor confidence.
Learn moreSearch our registry to verify the registration status of financial firms and professionals. Inclusion in the registry does not constitute endorsement or regulatory approval.
The FCIC registry provides publicly available information about financial firms and professionals. The information is provided for informational purposes only and should not be construed as legal, financial, or investment advice. Users should verify all information independently.
FCIC has identified an unauthorized entity operating an unlicensed investment platform targeting retail investors.
Reports of individuals impersonating FCIC officials to solicit cryptocurrency payments.
Updates to annual reporting requirements for registered financial entities.
The report examines key trends in financial market conduct and transparency.
FCIC addresses emerging trends and consumer protection considerations.
FCIC announces expanded educational resources for investors.
| Case | Entity | Action Type | Date | Status |
|---|---|---|---|---|
| FCIC-2026-001 | Demo Capital Partners | Reprimand | 2026-07-28 | Closed |
| FCIC-2026-002 | Apex Trading Ltd. | Fine | 2026-07-15 | Pending |
| FCIC-2026-003 | Summit Wealth Advisory | License Revocation | 2026-06-30 | Under Review |
| FCIC-2026-004 | Pacific Holdings Group | Sanction | 2026-06-20 | Closed |
| FCIC-2026-005 | Northstar Financial Services | Fine | 2026-06-10 | Closed |
Comprehensive annual assessments of market integrity and regulatory trends.
3 publicationsDetailed guidance documents to help entities understand and comply with standards.
8 publicationsAnalysis of market conduct trends, risk factors, and industry developments.
5 publicationsEducational materials designed to help consumers make informed financial decisions.
12 publications