Reports and papers

Found 61 results. Displaying page 1 of 4

1. • KiwiSaver and Superannuation

   13 September 2018

   Compare KiwiSaver data

   We consolidate information from KiwiSaver providers in two ways to support analysis, discussion and debate on the relationship between investment risk, returns and fees.

   https://fma.govt.nz/news-and-resources/reports-and-papers/compare-kiwisaver-data/

2. • Research papers
   • KiwiSaver and Superannuation
   • Surveys

   16 August 2018

   KiwiSaver Statements survey

   Second survey carried out by Buzz Channel for the FMA among the general public to understand how KiwiSaver statements are perceived, and how people use them.

   https://fma.govt.nz/news-and-resources/reports-and-papers/kiwisaver-statements-survey/

3. • Monitoring and compliance reports
   • AFA/QFEs

   18 July 2018

   Life insurance replacement business

   This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.

   https://fma.govt.nz/news-and-resources/reports-and-papers/life-insurance-replacement-business/

4. • Statutory reports

   28 June 2018

   NZX Review

   Findings from the FMA‘s review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2017

   https://fma.govt.nz/news-and-resources/reports-and-papers/nzx-review/

5. • Monitoring and compliance reports

   27 June 2018

   Improving financial statements

   This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.

   180627 Improving financial statements

   https://fma.govt.nz/news-and-resources/reports-and-papers/improving-financial-statements/

6. • Monitoring and compliance reports
   • Investor information

   13 June 2018

   Key findings from the recent re-licensing of supervisors

   The FMA has completed a review of the licensed supervisors during the process to update their license status in 2017.

   180611 Key findings from the recent re licensing of supervisors

   https://fma.govt.nz/news-and-resources/reports-and-papers/key-findings-from-the-recent-re-licensing-of-supervisors/

7. • Monitoring and compliance reports
   • Auditors

   7 June 2018

   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. It may also be of interest to issuers, investors and their advisers.

   https://fma.govt.nz/news-and-resources/reports-and-papers/auditor-regulation-and-oversight-plan/

8. • Research papers

   24 May 2018

   New Zealand Equity Market Cleanliness for the years 2010-2016

   This report assesses the cleanliness of New Zealand equity markets. The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS).

   https://fma.govt.nz/news-and-resources/reports-and-papers/new-zealand-equity-market-cleanliness-for-the-years-2010-2016/

9. • Monitoring and compliance reports
   • AFA/QFEs

   15 May 2018

   Authorised Financial Advisers in NZ

   Interactive Authorised Financial Advisers in NZ 2017 report.

   https://fma.govt.nz/news-and-resources/reports-and-papers/authorised-financial-advisers-in-nz/

10. • Monitoring and compliance reports
    • Investor information

    18 April 2018

    General stocktake of fund updates

    This ‘stocktake’ meets a specific milestone to review quarterly fund updates and engage with the market on our findings. This review forms part of our strategic priorities for 2017-2018 to work with issuers and their professional advisers to improve disclosure documents and offer information.

    https://fma.govt.nz/news-and-resources/reports-and-papers/general-stocktake-of-fund-updates/

11. • Research papers
    • Issuers and offerers

    10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors.

    https://fma.govt.nz/news-and-resources/reports-and-papers/pds/

12. • Monitoring and compliance reports
    • Conduct

    20 February 2018

    Conduct Outcomes Report

    The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.

    https://fma.govt.nz/news-and-resources/reports-and-papers/conduct-outcomes-report/

13. • Statutory reports
    • Auditors

    12 December 2017

    Accredited Body Report - CPA Australia

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.

    https://fma.govt.nz/news-and-resources/reports-and-papers/accredited-body-report-cpa-australia/

14. • Statutory reports
    • Auditors

    12 December 2017

    Accredited Body Report – New Zealand Institute of Chartered Accountants

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2016 to 30 June 2017.

    https://fma.govt.nz/news-and-resources/reports-and-papers/accredited-body-report-new-zealand-institute-of-chartered-accountants/

15. • Monitoring and compliance reports
    • Auditors

    29 November 2017

    Key Audit Matters - A stock take of the first year in New Zealand

    This report provides a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).

    https://fma.govt.nz/news-and-resources/reports-and-papers/key-audit-matters-a-stock-take-of-the-first-year-in-new-zealand/

16. • Monitoring and compliance reports
    • Financial reporting

    27 November 2017

    Peer-to-peer and crowdfunding: sector snapshot

    This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand for the year ended 30 June 2017.

    https://fma.govt.nz/news-and-resources/reports-and-papers/peer-to-peer-and-crowdfunding-sector-snapshot/

17. • Statutory reports
    • Auditors

    23 November 2017

    Audit Quality Monitoring Report

    This report summarises our findings from the quality reviews we carried out between 1 July 2016 and 30 June 2017.

    https://fma.govt.nz/news-and-resources/reports-and-papers/audit-quality-review-report/

18. • Statutory reports
    • KiwiSaver and Superannuation

    5 October 2017

    KiwiSaver Report

    This year’s report covers the period from 1 July 2016 to 30 June 2017, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2017.

    https://fma.govt.nz/news-and-resources/reports-and-papers/kiwisaver-report/

19. • Monitoring and compliance reports
    • Licensing

    22 September 2017

    Financial Service Providers Register report

    Read about the work we’re doing to tackle misuse of the Financial Services Provider Register (FSPR) and some useful case studies that provide examples of where we’ve taken action.

    170922 FSPR report

    https://fma.govt.nz/news-and-resources/reports-and-papers/financial-service-providers-register-report/

20. • Research papers
    • Investor information

    12 July 2017

    Attitudes towards New Zealand’s financial markets survey

    General public investor research.

    https://fma.govt.nz/news-and-resources/reports-and-papers/attitudes-towards-new-zealands-financial-markets-survey/