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WELCOME TO Board of International Equities
The Board of International Equities (BIE) was established to promote investor confidence in the securities and capital markets by providing more structure and government oversight. The mission of the BIE is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The BIE is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals.
Crucial to the BIE 's effectiveness is its enforcement authority. Each year the BIE brings more enforcement actions against individuals and companies that break the securities laws. Typical infractions include insider trading, accounting fraud and providing false or misleading information about securities and the companies that issue them.
LEARN FROM US
Aside from administering and enforcing federal securities laws in order to maintain fair, honest and efficient markets, the BIE has continuously committed itself to disseminating information to the investing public in a timely and efficient manner, one channel of which is through its website that offers the public a wealth of informational resources.
Fighting securities fraud, however, requires teamwork. At the heart of effective investor protection is an educated and cautious investor. While it is the primary overseer and regulator of the securities markets, the BIE works closely with many different institutions, including other federal departments and agencies, the self regulatory organizations, state securities regulators and various private sector organizations.
ABOUT Board of International Equities
The Board of International Equities's (BIE) major policy consists of supervising, managing and implementing all federal securities laws which are related to Mergers and Acquisitions.
The BIE is involved in the promotion of correct and appropriate information and also interested in protecting the interests of the investors while interacting with corporate and legal organizations they meet and get involved during the process. Following this policy, the BIE is responsible for guaranteeing a successful transaction based on just and appropriate business rules.
The global integration of capital markets involves a great number of participants. As it provides the possibility of capital flows or the chance of taking personal advantage of some investors, the main objectives of the BIE is to prevent violations of any kind while trading - asking all the entities involved for following the regulations established. Reliability and ethical premises are the basics of a respectable and serious market development. Fraudulent activities damage not only the integrity of the market, but also destroy client's trust. Federal and State legislations must be accepted, interpreted and put into practice by all the investors in order to achieve a proper and efficient administration of the Mergers and Acquisitions.
As an overseas financial services regulator you may seek information from Bureau of International Equities as part of your licensing or registration processes. The BIE supports this regulator-to-regulator practice as part of our functions of monitoring and promoting market integrity and consumer protection in relation to the International financial system.
The BIE 's website can provide you with useful information that will assist you with your licensing or registration processes. You can access information contained in the public registers through our website. For example, you can confirm that a person or company holds an International financial services license or is a banned and/or disqualified person.
The BIE is established to promote investor confidence in the securities and capital markets by providing more structure and government oversight.
The mission of the BIE is to protect investors and maintain integrity of the securities industry, overseeing major participants in the industry, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies.
The BIE is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals
INVESTOR CENTER
Crucial to the BIE 's effectiveness is its enforcement authority. Each year the BIE brings more enforcement actions against individuals and companies that break the securities laws. Typical infractions include insider trading, accounting fraud and providing false or misleading information about securities and the companies that issue them.
Fighting securities fraud, however, requires teamwork. At the heart of effective investor protection is an educated and cautious investor. While it is the primary overseer and regulator of the securities markets, the BIE works closely with many different institutions, including other federal departments and agencies, the self regulatory organizations, state securities regulators and various private sector organizations.
LEARN FROM US
As an overseas financial services regulator you may seek information from Bureau of International Equities as part of your licensing or registration processes. The BIE supports this regulator-to-regulator practice as part of our functions of monitoring and promoting market integrity and consumer protection in relation to the International financial system.
The BIE 's website can provide you with useful information that will assist you with your licensing or registration processes. You can access information contained in the public registers through our website. For example, you can confirm that a person or company holds an International financial services license or is a banned and/or disqualified person.
The BIE is concerned primarily with promoting disclosure of important information, enforcing securities laws, and protecting investors who interact with these various organizations and individuals.
REGULATORY INFORMATION
Providing probity/due-diligence information to overseas regulators
As an overseas financial services regulator you may seek information from Board of International Equities (BIE) as part of your licensing or registration processes. The BIE supports this regulator-to-regulator practice as part of our functions of monitoring and promoting market integrity and consumer protection in relation to the Japanese financial system.
What checks can you, as an overseas regulator, undertake yourself?
The BIE 's website can provide you with useful information that will assist you with your licensing or registration processes. You can access information contained in the public registers through our website. For example, you can confirm that a person or company holds an US financial services license or is a banned and/or disqualified person.
You may also find useful information by searching the BIE media releases, Enforceable Undertakings Register and the Summary of prosecutions of companies & directors.
Note that the BIE does not register or license individual participants in the financial services industry unless they are carrying on a financial services business as a sole trader. Individuals who are (or have been) 'authorized representatives' of financial services licensees are publicly listed on our register.
More about our public registers, including what they contain, the differences between free and paid searches, and help on how to conduct free searches, is available on a central page, BIE registers.
What information Board of International Equities can/cannot provide to an overseas regulator
If you haven't found the information you need on our website or public registers you can make a probity request for confidential information. We release confidential information in accordance with our statutory obligations, which are outlined in Regulatory Guide 103.
There are certain categories of non-public information that as a general rule Board of International Equities does not release in response to a probity check response. These include:
•complaints made to the BIE where we have assessed the complaint and determined that no regulatory action is required;
•minor technical matters such as a single instance of failure to lodge an annual report on time;
•concluded surveillances which did not raise any material concerns or which resulted in no further action being taken by the BIE;
highly confidential and/or commercially or market sensitive information (for example, prior knowledge of a takeover bid).
FUNDS
We, generally, will not conduct searches for confidential or non-public information beyond a period of five years.
We may contact individuals and companies when considering the release of confidential information but will not disclose to them any of our regulator-to-regulator correspondence. Nor will we provide letters of support to individuals or companies in relation to their dealings with foreign regulators.
The BIE will ordinarily respond to a standard probity request within 14 days of receipt of all necessary information. For more complex matters we may require additional time to respond.
When will Board of International Equities respond to a probity check request?
The BIE applies certain thresholds, to determine whether it is appropriate for us to respond to a probity check request. These thresholds are: jurisdictional nexus with Japan; and reason for the request (for example, the information is required to assist with assessing a licence application).
In addition, the BIE also requires details about the entity or individual (that is, the individual's name and date of birth) to be provided with the request to assist us with carrying out the relevant searches of our confidential database.
Daniel 8 :25
