Reports and papers

Found 42 results. Displaying page 1 of 3

1. Reports and Papers

   16 December 2024

   ASX 24 review report

   Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.
2. Reports and Papers

   16 December 2024

   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.
3. Reports and Papers

   10 December 2024

   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.
4. Reports and Papers

   10 December 2024

   Accredited Body Report - CPA Australia

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

   4 December 2024

   Climate-related Disclosures: Insights from our reviews

   This report provides key insights from our reviews of 70 climate statements prepared for reporting periods ended 31 December 2023, 31 January 2024 and 31 March 2024.
6. Reports and Papers

   28 November 2024

   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.
7. 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.
8. 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.
9. 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. 
10. 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.
11. 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.
12. 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.
13. 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
14. 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.
15. 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.