Supervision

As a conduct of business regulator, AFSA supervises firms and their employees to maintain individual and institutional integrity and high standards of conduct. As a prudential regulator, AFSA’s mandate is to ensure that Centre Participants are financially sound and to reduce institutional and systemic financial risk that may result from adverse economic shocks and/or financial disruption.

Centre Participants whose conduct falls outside the standards expected by the AFSA may be subject to enhanced supervision by the Conduct and Prudential teams or to Enforcement action.

AFSA will undertake financial sector surveillance as part of its supervisory function This will include identification of risk factors and unstable trends in order to promote financial stability, monitoring the prudential health of Centre Participants and assessing, monitoring and mitigating prudential risks across the full spectrum of financial services licensed by AFSA.

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