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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1629 results. Displaying page 1 of 109

  1. 20 December 2024

    FMA Pritesh Patel enforceable undertaking

    This enforceable undertaking is given by Pritesh Patel (Mr Patel), and has been accepted by the Financial Markets Authority (FMA) in accordance with sections 46 and 46A of the Financial Markets Authority Act 2011 (FMA Act).

  4. 16 December 2024

    ASX 24 Obligations Review 2024

    Findings from the FMA’s review of how well ASX 24 is meeting its licensed market operator obligations, for the two-year period 1 July 2022 to 30 June 2024.

  5. 16 December 2024

    SGX DT Obligations Review 2024

    Findings from the FMA’s review of how well SGX-DT is meeting its licensed market operator obligations, for the period 1 July 2023 to 30 June 2024

  14. 10 December 2024

    Accredited body report - CPA Australia 2024

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2023 to 30 June 2024

  15. 10 December 2024

    Accredited body report - NZICA 2024

    Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2023 to 30 June 202