Looking forwards and sideways FMA’s view of the regulatory landscape

Sue Brown, Head Primary Regulatory OperationsEriksens Actuarial: The Real Risk Management Conference| 25 Sept 2012 | Auckland

FMA’s busy first year

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FMA structure supports what we do FMA Board

Chief Executive

FMA Board

EnforcementCivil and Criminal Investigations,

Evidence and Enforcement

Compliance Monitoring

(Commercial and Infrastructure)Compliance Policy, Issuer and

Commercial Surveillance, Infrastructure Oversight

Primary Regulatory Operations

Licensing, Retail Surveillance,Prospectus Review, Novel Applications, New Product

And Services, Regulatory Policy

Stakeholder Management

Stakeholder (Government Sector,

Public, Media and Co-regulator) Relationships,

Communications

Business Performanceand Strategy

Operations, Technical & Shared Services

(IT / Finance / HR /Admin services)

Legal Internal, LegalExpertise, Risk

Management and Corporate

Governance

Strategic Intelligence

Information Research, Analysis, Issue Identification and Strategy and

Solutions

Property proportionate ownership scheme example

Financial Markets Conduct Bill

Questions