Reports and papers

Found 41 results. Displaying page 1 of 3

1. Reports and Papers

   23 October 2024

   Discretionary Investment Management Services – Sector Insights 2024

   Insights from our 2022-2024 monitoring of the Discretionary Investment Management Service (DIMS) sector, identifying some key risks to investors and how we would like to see these risks managed by those who operate or advise on DIMS.
2. Reports and Papers

   26 September 2024

   Catalist market operator obligations review

   Findings from the FMA's annual review of how well Catalist is meeting its licensed market operator obligations.
3. Reports and Papers

   24 September 2024

   KiwiSaver Annual Report

   The KiwiSaver Annual report 2023 summarises our activities as a regulator relating to KiwiSaver during the previous financial year. 
4. Reports and Papers

   11 September 2024

   Ethical investing disclosure insights

   Insights from the FMA’s recent supervision of disclosure for funds that claim to have ethical features.
5. Reports and Papers

   25 June 2024

   NZX Review Report

   NZX Review report outlines our annual review of how well NZX is meeting its statutory obligations. View the 2024 report along with previous reports on this page.
6. Reports and Papers

   20 June 2024

   Auditor regulation and oversight plan

   This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. View the 2024-2027 report on this page as well as previous reports.
7. Reports and Papers

   30 May 2024

   Financial Advice Provider Monitoring Insights

   Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers
8. Reports and Papers

   14 December 2023

   SGX-DT review report

   Findings from the FMA’s reviews of how well Singapore Exchange Derivatives Trading Limited (SGX-DT) is meeting its market operator obligations under the FMC Act 2013.
9. Reports and Papers

   8 December 2023

   Accredited Body Report – New Zealand Institute of Chartered Accountants

   NZICA Accredited Body Report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA). Read more.
10. Reports and Papers

    8 December 2023

    Accredited Body Report - CPA Australia

    CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
11. Reports and Papers

    24 November 2023

    Audit Quality Monitoring Report

    The Audit Quality Monitoring Report 2023 emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
12. Reports and Papers

    30 October 2023

    Key findings from the 2022 re-licensing of Supervisors

    Report on findings and areas for improvement identified by the FMA’s 2022 relicensing of Supervisors.
13. Reports and Papers

    5 October 2023

    Lessons learned from the Barry Kloogh Ponzi scheme

    The FMA has issued a report following the fraudulent activities of Barry Kloogh. This report records the FMA’s views and findings on the conduct that was the subject of these enquiries, the law that applies to that conduct, and our actions as a result of our findings.
14. Reports and Papers

    18 September 2023

    Supporting customers in financial difficulty

    The Commerce Commission and the Financial Markets Authority have collaborated on a joint message that outlines ways that financial service providers (including consumer lenders) can support customers who are experiencing financial difficulty.
15. Reports and Papers

    5 September 2023

    Governance Thematic Review

    A joint RBNZ and FMA thematic review examining the policies, processes and operational practices of boards of financial institutions in key areas of governance.