Reports and papers

Found 65 results. Displaying page 1 of 4

1. • Thematic review
   • Conduct

   15 November 2018

   Bank Incentive Structures

   Findings from an FMA review of incentive structures in the banking industry

   https://fma.govt.nz/news-and-resources/reports-and-papers/bank-incentive-structures/

2. • Surveys
   • Conduct

   5 November 2018

   Bank Conduct and Culture Consumer Survey

   The FMA and the RBNZ commissioned Buzz Channel to conduct an online survey among New Zealanders to understand their experience of the conduct and culture of the main bank they use for their personal banking.

   https://fma.govt.nz/news-and-resources/reports-and-papers/bank-conduct-and-culture-consumer-survey/

3. • Conduct

   5 November 2018

   Bank Conduct and Culture Review

   Findings from an FMA and RBNZ review of conduct and culture in New Zealand retail banks

   https://fma.govt.nz/news-and-resources/reports-and-papers/bank-conduct-and-culture-review/

4. • Surveys

   24 October 2018

   Ease of doing business survey

   This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

   2018 FMA Ease of doing business survey

   https://fma.govt.nz/news-and-resources/reports-and-papers/ease-of-doing-business-survey/

5. • KiwiSaver and Superannuation
   • Statutory reports

   9 October 2018

   KiwiSaver Report

   Each year we publish a KiwiSaver Report that summarises our activities as a regulator relating to KiwiSaver during the reporting period. Find here the latest report as well as the previous reports

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

6. • 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/

7. • KiwiSaver and Superannuation
   • Research papers
   • 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/

8. • AFA/QFEs
   • Monitoring and compliance reports

   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/

9. • 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/

10. • 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/

11. • Investor information
    • Monitoring and compliance reports

    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/

12. • 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/

13. • 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/

14. • AFA/QFEs
    • Monitoring and compliance reports

    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/

15. • Investor information
    • Monitoring and compliance reports

    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/

16. • Issuers and offerers
    • Research papers

    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/

17. • 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/

18. • 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/

19. • 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/

20. • 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/