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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 59 of 109

  3. 30 June 2019

    NZX Obligations Review 2019

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2019.

  5. 27 June 2019

    ICE Futures Europe Obligations Review 2019

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.

  6. 27 June 2019

    ICE Futures US Obligations Review 2019

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.

  7. 27 June 2019

    Auditor regulation and oversight plan 2019 2022

    This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.

  8. 27 June 2019

    NZX Obligations Review 2018

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.

  14. 1 May 2019

    Financial reporting reviews 2019

    This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.