Monitoring and compliance reports
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Quarterly fund updates (fund updates) let investors know important information about their managed fund, such as how it is performing, what it is costing them, and what their fund is investing in.
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/general-stocktake-of-fund-updates/
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160629 Replacing life insurance - who benefits?
This is our first report into the sales practices within the life insurance industry. The report is the result of a review of four years of data, to determine whether insurance churn exists in the New Zealand market and, if it does, whether it harms consumers.
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Factors influencing in...
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/life-insurance-replacement-business/
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2017 Conduct Outcomes Report
The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018...
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/conduct-outcomes-report/
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Key Audit Matters - A stock take of the first year in New ZealandThis 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).We analysed the new style auditors’ reports issued in New Zealand. We also conducted interviews and online surveys with investors, analysts, auditors, directors and management. We hope this publica...
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/key-audit-matters-a-stock-take-of-the-first-year-in-new-zealand/
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INTERACTIVE: Peer-to-peer lending and crowdfunding: sector snapshotThis report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand for the year ended 30 June 2017.It is based on data given to us by the licensed providers of these services in their annual regulatory returns. These returns are a standard requirement for licensees. They give us up-to-date information that helps us understand the businesses we regulate and...
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/peer-to-peer-and-crowdfunding-sector-snapshot/
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170922 FSPR report
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/financial-service-providers-register-report/
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170704 2017 AML CFT Sector Risk Assesment
170704 2017 AML CFT Sector Risk Assesment
170704 2017 AML CFT Sector Risk Assesment
Our AML/CFT SRA 2017 is an important document that provides general information and specific examples to assist reporting entities in the nine sectors we supervise for...
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/amlcft-sector-risk-assessment/
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FMA has an obligation to publish an Auditor Regulation and Oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. 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/monitoring-and-compliance-reports/auditor-regulation-and-oversight-plan/
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170524 FMA Licensing overview report 2017
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170524 4 key steps to help get your licence...
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/licensing-overview-report/
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Snapshot of AFAs in NZ
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/authorised-financial-advisers-in-nz/
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AML/CFT 2016 Annual Monitoring Report
This report summarises our monitoring activities to help firms and individuals better understand our expectations and how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act).
This report covers the period from 1 July 2015 to 30 June 2016. It was our third year of monitoring compliance with the Act....
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/amlcft-monitoring-report/
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160804 Review of corporate governance disclosure
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/a-review-of-corporate-governance-disclosure-in-new-zealand/
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160525 Report on Silver Fern Farms
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/report-on-silver-fern-farms-complaints-received-by-the-financial-market-authority/
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151117 Sales and advice report
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/sales-and-advice-report/
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150630 Disclosure of fees paid to auditors by listed issuers 2015
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140407 Disclosure of fees paid to auditors by listed issuers 2014
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/disclosure-of-fees-paid-to-auditors-by-listed-issuers/
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150213 Non-filing of Financial Statements 2015
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140703 Review of non-filing of financial statements report
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/non-filing-of-financial-statements/
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This report describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO.
Gentrack IPO Report 2014
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/gentrack-ipo-report/
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140912 QFE monitoring report 2014
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/qualifying-financial-entities-qfe-monitoring-report/
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140912 AFAs monitoring report 1 January – 30 June 2014
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140330 AFAs monitoring report Jul -Dec 2013
130930 AFAs monitoring report thematic review nzx adviser april-june 2013
130601 AFAs Monitoring Report-Thematic Review: DIMS January-March 2013
130301 AFAs monitoring report oct-dec 2012
121001 AFAs-monitoring-report-july-sept...
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/authorised-financial-advisers-afa-monitoring-report/
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The non-filing of financial statements by some financial markets participants is a persistent problem and has prompted FMA to undertake a review of issuers’ compliance with their financial reporting obligations.
The purpose of this report is to:
remind directors of their statutory financial reporting obligations under the Financial Reporting Act 1993 (FRA)
remind brokers and directors of the statutory filing obligations under the Securities Act (Contributory Mortgage) Regulations 1988
infor...
https://fma.govt.nz/news-and-resources/reports-and-papers/monitoring-and-compliance-reports/review-of-non-filing-of-financial-statements/