Australia and New Zealand
Jurisdiction
|
Regulator
|
Comments
|
| Australia |
Australian Securities and Investments Commission |
ASIC (formerly named the Australian Securities Commission) is responsible for the conduct of business of Australian financial institutions |
| Australia |
Australian Prudential Regulation Authority |
APRA is responsible for the prudential regulation of Australian financial institutions. It came into existence on 1 July, 1998 |
| Australia |
Australian Financial Institutions Commission |
AFIC is the prudential regulator for state-based Australian financial institutions. Copies of legislation are available for download |
| Australia |
Australian Competition and Consumer Commission |
ACCC administers legislation relating to anti-competitive and unfair market practices, mergers or acquisitions of companies, product safety/liability, and third party access to facilities of national significance |
| Australia |
Financial Industry Complaints Service |
FICS is a complaint resolution scheme for consumers who have a complaint about advice or loss as a result of consultation with a financial planner, stockbroker or investment adviser |
| New Zealand |
New Zealand Securities Commission |
Annual report available and some very general statements of principle |