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Document Library

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

Found 1686 results. Displaying page 35 of 113

  1. 6 December 2021

    AML/CFT Sector Risk Assessment 2021

    Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.

  3. 1 December 2021

    Accredited Body Report - CPA Australia 2021

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

  4. 1 December 2021

    Financial Markets Authority Efficiency, effectiveness and baseline review

    The purposes of this Review are to provide assurance regarding the extent to which the FMA is focused on the right activities in support of its main statutory objectives and the extent to which resources are efficiently and effectively directed to these ends. The Review is also aimed at identifying opportunities for improving organisational performance. The report was produced by PwC for the FMA.

  5. 30 November 2021

    Audit Quality Monitoring Report 2021

    Audit Quality Monitoring Report 20/21 - This report summarises our findings from the quality reviews we carried out between 1 July 2020 and 30 June 2021.

  12. 4 November 2021

    Record keeping self assessment tool

    Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required. Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

  14. 1 November 2021

    Self assessment tool key outsourcing arrangements

    As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.