Monitoring and compliance reports

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  1. 4 August 2016

    A review of corporate governance disclosure in New Zealand

    160804 Review of corporate governance disclosure
    Institutional investors have told us that they rely on good corporate governance disclosures to help them make informed investment decisions. Our review of a sample of New Zealand listed and unlisted companies shows that although many companies provide clear and relevant information, they could improve corporate governance policies, practices and disclosures. We encourage companies to learn from the examples of good reporting that we have highlighted, paying particular attention to disclosures on shareholder relations and stakeholder interests.

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/a-review-of-corporate-governance-disclosure-in-new-zealand/

  2. 13 June 2016

    Auditor regulation and oversight plan for the three years ending 30 June 2019

    FMA has an obligation to publish an Auditor Regulation and Oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/auditor-regulation-and-oversight-plan-for-the-three-years-ending-30-june-2019/

  3. 12 February 2016

    AML/CFT Monitoring Report

    AML/CFT 2015 Annual Review Report This report outlines the FMA’s priorities for monitoring firms and individuals under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act). Related documents Related documents 140601 FMA’s supervision of AML/CFT This document outlines the FMA’s priorities for monitoring reporting entities unde...

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/amlcft-monitoring-report/

  4. 12 September 2014

    Authorised Financial Advisers (AFA) Monitoring Report

    140912 AFAs monitoring report 1 January – 30 June 2014 Related documents 140330 AFAs monitoring report Jul -Dec 2013 130930 AFAs monitoring report thematic review nzx adviser april-june 2013 130601 AFAs Monitoring Report-Thematic Review: DIMS January-March 2013 130301 AFAs monitoring report oct-dec 2012 121001 AFAs-monitoring-report-july-sept...

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/authorised-financial-advisers-afa-monitoring-report/

  5. 12 September 2014

    Qualifying Financial Entities (QFE) Monitoring Report

    140912 QFE monitoring report 2014
    This is the FMA’s first report on QFE monitoring. We cover site visits and wider monitoring activities up to June 2014. We provide an overview of our key findings from on-site QFE inspections of some of the major banks as well as non-bank entities, and have identified areas that could be improved by adopting better practices.

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/qualifying-financial-entities-qfe-monitoring-report/

  6. 3 July 2014

    Review of non-filing of financial statements

    The non-filing of financial statements by some financial markets participants is a persistent problem and has prompted FMA to undertake a review of issuers’ compliance with their financial reporting obligations. The purpose of this report is to: remind directors of their statutory financial reporting obligations under the Financial Reporting Act 1993 (FRA) remind brokers and directors of the statutory filing obligations under the Securities Act (Contributory Mortgage) Regulations 1988 infor...

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/review-of-non-filing-of-financial-statements/

  7. 30 June 2014

    Going Concern disclosures in financial statements

    The purpose of this report is to inform market participants of the findings of our review and highlight areas of concern. It also: reminds directors of the importance of the going concern assumption when preparing accounts using New Zealand GAAP and disclosure requirements considers the requirements of New Zealand Auditing standards and whether the audit opinion is in compliance with these standards. Going Concern disclosures in financial statements 2014.pdf (598 kB)...

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/going-concern-disclosures-in-financial-statements/

  8. 4 April 2014

    Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

    In September 2012, FMA licensed securities trustees and statutory supervisors (licensees) pursuant to the Securities Trustees and Statutory Supervisors Act 2011 (the Act). Prior to the Act, licensees in New Zealand were not subject to independent regulation. FMA recognises that it can take time for any newly regulated population to adapt to their new compliance obligations. In the context of licensee’s, adapting processes and building a culture of regulatory oversight of supervised interests...

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/securities-trustees-and-statutory-supervisors-feedback-from-monitoring-visits/

  9. 27 March 2014

    Unsolicited Offers Monitoring Report

    The Securities Markets (Unsolicited Offers) Regulations 2012 (Regulations) came into force on 1 December 2012, in response to concerns about ’low ball’ offers. FMA closely monitored compliance with the new regulations as one of our focus areas in 2013 for building customer trust. In this report we set out our findings and observations. These are based on our monitoring activities to 14 February 2014. Unsolicited Offers Monitoring Report.pdf (538 kB)...

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/unsolicited-offers-monitoring-report/

  10. 28 June 2013

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant. FMA's review of market disclosures.pdf (241 kB)

    http://fma.govt.nz/news/reports-and-papers/monitoring-and-compliance-reports/fmas-review-of-market-disclosures/