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Supervisory approach

We adopt an outcomes-based approach to supervising intermediaries with an emphasis on their business conduct and financial soundness. More specifically, we seek to:

  • Secure an appropriate degree of protection for the investing public without stifling market development;
  • Establish and maintain a sound regulatory regime that benchmarks with international standards and ensure a transparent standard-setting process to facilitate the development of balanced regulatory standards; and
  • Achieve proportionate risk-based supervision whereby more effort can be directed to high-risk or high-impact licensed corporations and greater emphasis is placed on dealing with issues that may significantly affect investors and the market at large.

Our regulatory approach is grounded firmly in the tenet that an intermediary is primarily responsible for its own activities and that the senior management of each intermediary is responsible for properly managing the business of their firms and the risks associated with their activities.

For more information about our role, the approach we take and our underlying philosophy, please review the "Regulatory Framework for Intermediaries". Detailed processes underpinning our supervision of intermediaries are described in the "Approach to Supervision of Intermediaries". 

Last update: 5 Apr 2016

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