Our approach to regulation is based on proactive and extensive engagement with firms and professionals. Specifically, our functions for regulation include:
To help build investor confidence, we assess and monitor compliance, conduct and competency of market participants. See more for further information on our regulatory framework, intelligence and risk-based approach to compliance, monitoring outcomes and our regulatory co-operation.
Through our investigation and enforcement activities we aim to raise standards of behaviour, deter misconduct, and hold to account those whose conduct harms the fair, efficient and transparent operation of our financial markets. Our intention is to raise investor confidence by taking timely and proportionate enforcement action and by seeking compensation for investors where appropriate. See more on our approach to enforcement.
We provide information and guidance that assists firms and professionals to comply with the law. For more information about guidance we have issued, see our guidance library.
We partner with public and private organisations to develop and promote education resources and messages to help investors make better investment decisions. This includes providing information on investment basics, different ways to invest, investment risk, KiwiSaver and a range of other free resources.
We also issue warnings, alerts and scam information to educate the public on areas to be wary of.
We license a range of firms and professionals that meet the requirements in law. For more information on the licenses we issue, see our licensing and registration section.