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Looking forwards and sideways FMA’s view of the regulatory landscape Sue Brown, Head Primary Regulatory Operations Eriksens Actuarial: The Real Risk Management Conference| 25 Sept 2012 | Auckland

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Page 1: Looking forwards and sideways FMA’s view of the regulatory landscape Sue Brown, Head Primary Regulatory Operations Eriksens Actuarial: The Real Risk Management

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

Page 2: Looking forwards and sideways FMA’s view of the regulatory landscape Sue Brown, Head Primary Regulatory Operations Eriksens Actuarial: The Real Risk Management

FMA’s busy first year

13

Page 3: Looking forwards and sideways FMA’s view of the regulatory landscape Sue Brown, Head Primary Regulatory Operations Eriksens Actuarial: The Real Risk Management

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

Page 4: Looking forwards and sideways FMA’s view of the regulatory landscape Sue Brown, Head Primary Regulatory Operations Eriksens Actuarial: The Real Risk Management

Property proportionate ownership scheme example

Page 5: Looking forwards and sideways FMA’s view of the regulatory landscape Sue Brown, Head Primary Regulatory Operations Eriksens Actuarial: The Real Risk Management

Financial Markets Conduct Bill

Page 6: Looking forwards and sideways FMA’s view of the regulatory landscape Sue Brown, Head Primary Regulatory Operations Eriksens Actuarial: The Real Risk Management

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