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Statement of Responsibility

The Securities Commission is established under the Securities Act 1978 which defines its powers and functions as New Zealand's main regulator of securities.

The Commission is an independent Crown entity in terms of the Crown Entities Act 2004, and the information contained in this Statement of Intent is prepared in accordance with sections 141 and 142 of the Crown Entities Act 2004. The prospective financial statements have been prepared in accordance with NZ IFRS. They have been developed for the purpose of tabling the Commission's intentions in the House of Representatives and should not be relied on by any other party for any alternative purpose. Actual results are likely to be different from the prospective financial statements and the variation may be material.

We are responsible for the preparation of this Statement of Intent, including the forecast financial statements and the assumptions on which they are based, the statement of forecast service performance, and for the judgements used in them.

Jane Diplock AO Chairman 22 May 2009

Keitha Dunstan Chairman Audit and Risk Review Committee 22 May 2009