We gather and analyse information to identify the greatest risks of harm to customers and New Zealand’s financial markets.
We are outcome-focused
We focus our resources where we have the greatest opportunity of achieving desired outcomes. We carefully consider the most appropriate tools and action for each situation. This means recognising the limits of our powers, considering regulatory burden and any unintended consequences of our actions.
We are consistent and transparent
We clearly communicate our intentions and expectations to market participants and explain our actions.
We are flexible and responsive
We adopt an operating model and ways of working that enable us to adapt and respond quickly to changing market conditions. We seek and act on feedback, and learn from our experiences.
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.
Investigations and enforcement
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.
Policy and guidance
We provide information and guidance that assists firms and professionals to comply with the law. For more information please see our guidance library.