Who we regulate

Effective and proportionate response to the identified non-compliance.

Proportionate enforcement action and seeking compensation for investors where appropriate.

Promote educational resources and messages to help investors make better investment decisions.

Creating safer and more transparent financial markets so that investors can better select and use the right financial products

We will now focus on positively influencing the behavior of all investors in the following areas


Talk to us at the design stage to determine if your idea is a product or service that we are arranging.

A primary obligation to ensure that all advertisements and promotional materials are not false or misleading.

Flexible enough to accommodate new and innovative products and services.

To understand your product or service

Provide information anonymously, however, this may limit our ability to investigate your complaint.