Statement of Intent 2009-2012

Laid before the House of Representatives pursuant to
section 149 of the Crown Entities Act 2004

Contents

STATEMENT OF RESPONSIBILITY

THIS STATEMENT OF INTENT

MEDIUM-TERM INFORMATION

The Securities Commission

The Government's goal

Key priorities

The environments we work in

National environment - New Zealand's securities and financial markets

Co-regulatory environment

Legislative environment

Trans-Tasman environment

International environment

Who we are and what we do

Commission Members

Staff

Nature and scope of our functions and intended operations

Classes of outputs

Outcomes, objectives, impacts and outputs

Delivering outputs for the 3 years to 30 June 2012

Future developments

Operating intentions

Market surveillance and enforcement

Oversight and supervision

Law and practice reform

Exemptions and authorisations

International cooperation and recognition

Public understanding

How we will work with others

Possible changes to our operating environment

Effectiveness and managing organisational health

Preparing for the effects of new law

Risks and risk mitigation

Collaboration on organisational health and capability building

Financial control and acquisition processes

Review of baseline funding

Takeovers Panel

Consultation and reporting to the Minister of Commerce

ANNUAL INFORMATION - FOR THE 2009/2010 YEAR

Appropriations

Forecast financial statements

Statement of forecast financial performance

Statement of forecast service performance

GLOSSARY