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.

Licensing

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.

Innovation

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.

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.

Licensing

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.

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

Innovation

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.