We take a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.
We focus our resources where we have the greatest opportunity of achieving desired outcomes.
Appropriate, proactive and targeted regulatory action
We have a range of tools available to deliver a timely, effective and proportionate response to identified non-compliance.
Our approach to compliance can be visualised below:
Our regulatory functions
Our regulatory functions support our strategic priorities.