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

Investor Skills

Skilled and informed investors are an essential part of healthy financial markets.

Our investor capability strategy in 2019 identified that investors needed help to build their skill levels.The 2020 Investor Capacity Strategy defines our new areas of focus – responding to the ‘investor understanding’ and ‘investor behavior’ of risk managers identified in our Risk Perspective.

Investor Capacity Strategy 2020 – 2022

Build investor confidence and understanding by: “Creating safer and more transparent financial markets so that investors can better select and use the right financial products and make informed investment decisions.” We will continue to work closely with other government agencies, market participants and community organizations to achieve this goal. We will share our research to understand what helps investors make good decisions and stay up to date with international research and behavior.

Concentration area

Survey demographics and analytics from our direct, online communication with investors show that we need to expand this target audience. As a result, we will now focus on positively influencing the behavior of all investors in the following areas:

  • Selection and use of investment products
  • Complex investment products
  • Awareness of high-risk ‘investments’
  • Avoiding scams

How will we measure progress over time

A consistently high percentage of online visitors surveyed who rate our content as helpful in helping them make informed investment decisions

An increase in surveyed investors who report having confidence in financial markets. We can show that we work regularly with government agencies and market participants to promote information and materials to improve the ability of investors

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.

Investor Skills

Skilled and informed investors are an essential part of healthy financial markets.

Our investor capability strategy in 2019 identified that investors needed help to build their skill levels.The 2020 Investor Capacity Strategy defines our new areas of focus – responding to the ‘investor understanding’ and ‘investor behavior’ of risk managers identified in our Risk Perspective.

Investor Capacity Strategy 2020 – 2022

Build investor confidence and understanding by: “Creating safer and more transparent financial markets so that investors can better select and use the right financial products and make informed investment decisions.” We will continue to work closely with other government agencies, market participants and community organizations to achieve this goal. We will share our research to understand what helps investors make good decisions and stay up to date with international research and behavior.

Concentration area

Survey demographics and analytics from our direct, online communication with investors show that we need to expand this target audience. As a result, we will now focus on positively influencing the behavior of all investors in the following areas:

  • Selection and use of investment products
  • Complex investment products
  • Awareness of high-risk ‘investments’
  • Avoiding scams

How will we measure progress over time

A consistently high percentage of online visitors surveyed who rate our content as helpful in helping them make informed investment decisions

An increase in surveyed investors who report having confidence in financial markets. We can show that we work regularly with government agencies and market participants to promote information and materials to improve the ability of investors

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.