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
How we regulate
Where we interact and how we interact
We are guided by intelligence and based on harm
We act risk-based on our monitoring and oversight activities, meaning that we prioritize resources to those participants or practices that pose the greatest risk to fair, efficient, and transparent financial markets.
How do we achieve the objectives
We focus our resources where we have the greatest opportunity to achieve the desired objectives
Appropriate, proactive and targeted regulatory action
We have at our disposal a legal basis to provide a timely, effective and proportionate response to the identified non-compliance.
Our regulatory functions
Our regulatory functions support our strategic priorities.
Monitoring and supervision
To help build investor confidence, we evaluate and monitor the compliance, behavior and competence of market participants.
Investigations and enforcement
Our goal is to build investor confidence by taking timely and proportionate enforcement action and seeking compensation for investors where appropriate.
Policy and guidance
We provide information and guidance to help firms and professionals enforce the law.
We license a range of firms and professionals that meet the requirements of the law.
Education and information
We partner with public and private organizations to develop and promote educational resources and messages to help investors make better investment decisions.